Protecting Investors and Fostering Efficient Markets

Protecting Investors and Fostering Efficient Markets PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 80

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Protecting Investors and Fostering Efficient Markets

Protecting Investors and Fostering Efficient Markets PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 80

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Book Description


Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing PDF Author:
Publisher: DIANE Publishing
ISBN: 9781422323335
Category :
Languages : en
Pages : 136

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Review of Investor Protection and Market Oversight with the Five Commissioners of the Securities and Exchange Commission

Review of Investor Protection and Market Oversight with the Five Commissioners of the Securities and Exchange Commission PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Electronic government information
Languages : en
Pages : 140

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Enhancing Investor Protection and the Regulation of Securities Markets

Enhancing Investor Protection and the Regulation of Securities Markets PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Global Financial Crisis, 2008-2009
Languages : en
Pages : 356

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Report on the Activity of the Committee on Financial Services for the 109th Congress

Report on the Activity of the Committee on Financial Services for the 109th Congress PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category :
Languages : en
Pages : 212

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Journal and History of Legislation

Journal and History of Legislation PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Banks and banking
Languages : en
Pages : 264

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OECD Sovereign Borrowing Outlook 2021

OECD Sovereign Borrowing Outlook 2021 PDF Author: OECD
Publisher: OECD Publishing
ISBN: 9264852395
Category :
Languages : en
Pages : 94

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Book Description
This edition of the OECD Sovereign Borrowing Outlook reviews developments in response to the COVID-19 pandemic for government borrowing needs, funding conditions and funding strategies in the OECD area.

Corruption and Fraud in Financial Markets

Corruption and Fraud in Financial Markets PDF Author: Carol Alexander
Publisher: John Wiley & Sons
ISBN: 1394178158
Category : Business & Economics
Languages : en
Pages : 624

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Book Description
Identifying malpractice and misconduct should be top priority for financial risk managers today Corruption and Fraud in Financial Markets identifies potential issues surrounding all types of fraud, misconduct, price/volume manipulation and other forms of malpractice. Chapters cover detection, prevention and regulation of corruption and fraud within different financial markets. Written by experts at the forefront of finance and risk management, this book details the many practices that bring potentially devastating consequences, including insider trading, bribery, false disclosure, frontrunning, options backdating, and improper execution or broker-agency relationships. Informed but corrupt traders manipulate prices in dark pools run by investment banks, using anonymous deals to move prices in their own favour, extracting value from ordinary investors time and time again. Strategies such as wash, ladder and spoofing trades are rife, even on regulated exchanges – and in unregulated cryptocurrency exchanges one can even see these manipulative quotes happening real-time in the limit order book. More generally, financial market misconduct and fraud affects about 15 percent of publicly listed companies each year and the resulting fines can devastate an organisation's budget and initiate a tailspin from which it may never recover. This book gives you a deeper understanding of all these issues to help prevent you and your company from falling victim to unethical practices. Learn about the different types of corruption and fraud and where they may be hiding in your organisation Identify improper relationships and conflicts of interest before they become a problem Understand the regulations surrounding market misconduct, and how they affect your firm Prevent budget-breaking fines and other potentially catastrophic consequences Since the LIBOR scandal, many major banks have been fined billions of dollars for manipulation of prices, exchange rates and interest rates. Headline cases aside, misconduct and fraud is uncomfortably prevalent in a large number of financial firms; it can exist in a wide variety of forms, with practices in multiple departments, making self-governance complex. Corruption and Fraud in Financial Markets is a comprehensive guide to identifying and stopping potential problems before they reach the level of finable misconduct.

The State of the Securities Markets

The State of the Securities Markets PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Auditing, Internal
Languages : en
Pages : 96

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A Global View

A Global View PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 132

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