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Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52
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Book Description
Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52
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Book Description
Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9781422304402
Category : Business & Economics
Languages : en
Pages : 50
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Book Description
The SEC & Commodity Futures Trading Comm. (CFTC) impose penalties, disgorgements, & restitution on proven & alleged violators of the securities & futures laws, respectively. The GAO has issued a number of previous reports on agency collection efforts & made numerous recommendations for improvement. This report follows up on open issues from the previous reports &: (1) discusses SEC's progress in improving its tracking of penalty & disgorgement collection data; (2) assesses the steps SEC has taken to improve collection program management; (3) evaluates SEC's implementation of the Fair Fund provision in the Sarbanes-Oxley Act of 2002; & (4) describes CFTC's actions to address previous recommendations. Charts & tables.
Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
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Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781984332660
Category :
Languages : en
Pages : 52
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Book Description
GAO-05-670 SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
Author:
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 204
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Book Description
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781982009700
Category :
Languages : en
Pages : 72
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Book Description
FINANCIAL TECHNOLOGY: Information on Subsectors and Regulatory Oversight
Author: Whei-Jen Chen
Publisher: IBM Redbooks
ISBN: 073844071X
Category : Computers
Languages : en
Pages : 440
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Book Description
Records management helps users address evolving governance mandates to meet regulatory, legal, and fiduciary requirements. Proactive adherence to information retention policies and procedures is a critical facet of any compliance strategy. IBM® Enterprise Records helps organizations enforce centralized policy management for file plans, retention schedules, legal preservation holds, and auditing. IBM Enterprise Records enables your organization to securely capture, declare, classify, store, and dispose of electronic and physical records. In this IBM Redbooks® publication, we introduce the records management concept and provide an overview of IBM Enterprise Records. We address records management topics, including the retention schedule, file plan, records ingestion and declaration, records disposition, records hold, and Enterprise Records application programming interfaces (APIs). We also use a case study to describe step-by-step instructions to implement a sample records management solution using Enterprise Records. We provide concrete examples of how to perform tasks, such as file plan creation, records ingestion and declaration, records disposition, and records hold. This book helps you to understand the records management concept, the IBM Enterprise Records features and capabilities, and its use.
Author: United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs
Publisher:
ISBN:
Category : Constitutional law
Languages : en
Pages : 176
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Book Description
Author: United States
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 2
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Book Description
Author: Theo Lynn
Publisher: Springer
ISBN: 3030023303
Category : Business & Economics
Languages : en
Pages : 194
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Book Description
This open access Pivot demonstrates how a variety of technologies act as innovation catalysts within the banking and financial services sector. Traditional banks and financial services are under increasing competition from global IT companies such as Google, Apple, Amazon and PayPal whilst facing pressure from investors to reduce costs, increase agility and improve customer retention. Technologies such as blockchain, cloud computing, mobile technologies, big data analytics and social media therefore have perhaps more potential in this industry and area of business than any other. This book defines a fintech ecosystem for the 21st century, providing a state-of-the art review of current literature, suggesting avenues for new research and offering perspectives from business, technology and industry.
