Author:
Publisher: DIANE Publishing
ISBN: 9781422397800
Category :
Languages : en
Pages : 52

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Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781976393471
Category :
Languages : en
Pages : 54

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The Securities and ExchangeCommission's (SEC) Division ofEnforcement (Enforcement) playsa key role in meeting the agency'sresponsibility to enforce securitieslaws and regulations. WhileEnforcement has brought a numberof high-profile cases, questionshave been raised over howeffectively the division manages itsoperations and resources. Forexample, GAO has previouslyreported on challengesEnforcement faces in managing itsinvestigation information systemsand overseeing the Fair Fundprogram. Under this program,funds are distributed to investorswho have suffered losses resultingfrom securities fraud and otherviolations.GAO was asked to evaluateEnforcement's (1) investigationplanning and information systems,and (2) oversight of the Fair Fundprogram.Among other things, GAO analyzedSEC and Enforcement documentsand data and interviewed agencyofficials as well as consultantsinvolved in administering the FairFund program.

Author: Mary L. Schapiro
Publisher: DIANE Publishing
ISBN: 1437917666
Category : Law
Languages : en
Pages : 64

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The SEC Div. of Enforcement (Enforcement) plays a key role in meeting the agency's mission to protect investors and maintain fair and orderly markets. In recent years, Enforcement has brought cases yielding record civil penalties, but questions have been raised about its capacity to manage its resources and fulfill its law enforcement and investor protection responsibilities. This report evaluates: (1) SEC's progress toward implementing previous recommendations; (2) the extent to which Enforcement has an appropriate mix of resources dedicated to achieving its objectives; and (3) the adoption, implementation, and effects of recent penalty policies. Includes recommendations. Charts and tables.

Author: A. Nicole Clowers
Publisher: DIANE Publishing
ISBN: 1437932568
Category : Business & Economics
Languages : en
Pages : 34

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SEC may order civil monetary penalties and seek ill-gotten financial gains, or disgorgement, from individuals who violate fed. securities laws and regulations. In 2002, Congress passed the Sarbanes-Oxley Act, which established numerous reforms to increase investor protection, including Sect. 308(a), the Fed. Account for Investor Restitution provision. This provision allows SEC to combine civil monetary penalties and other donations to disgorgement funds for the benefit of investors who suffer losses resulting from fraud or other securities violations. This report examines: (1) the status of Fair Fund collections and distributions; and (2) the actions that SEC has taken to address previous recommend. Illus. This is a print on demand report.

Author: United States. Government Accountability Office
Publisher:
ISBN:
Category :
Languages : en
Pages : 48

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Author: Cary Coglianese
Publisher: University of Pennsylvania Press
ISBN: 0812207491
Category : Political Science
Languages : en
Pages : 290

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Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation brings fresh insight and analytic rigor to what has become one of the most contested domains of American domestic politics. Critics from the left blame lax regulation for the housing meltdown and financial crisis—not to mention major public health disasters ranging from the Gulf Coast oil spill to the Upper Big Branch Mine explosion. At the same time, critics on the right disparage an excessively strict and costly regulatory system for hampering economic recovery. With such polarized accounts of regulation and its performance, the nation needs now more than ever the kind of dispassionate, rigorous scholarship found in this book. With chapters written by some of the nation's foremost economists, political scientists, and legal scholars, Regulatory Breakdown brings clarity to the heated debate over regulation by dissecting the disparate causes of the current crisis as well as analyzing promising solutions to what ails the U.S. regulatory system. This volume shows policymakers, researchers, and the public why they need to question conventional wisdom about regulation—whether from the left or the right—and demonstrates the value of undertaking systematic analysis before adopting policy reforms in the wake of disaster.

Author: Anthony S. Barkow
Publisher: NYU Press
ISBN: 0814787037
Category : Law
Languages : en
Pages : 288

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Who should police corporate misconduct and how should it be policed? In recent years, the Department of Justice has resolved investigations of dozens of Fortune 500 companies via deferred prosecution agreements and non-prosecution agreements, where, instead of facing criminal charges, these companies become regulated by outside agencies. Increasingly, the threat of prosecution and such prosecution agreements is being used to regulate corporate behavior. This practice has been sharply criticized on numerous fronts: agreements are too lenient, there is too little oversight of these agreements, and, perhaps most important, the criminal prosecutors doing the regulating aren’t subject to the same checks and balances that civil regulatory agencies are. Prosecutors in the Boardroom explores the questions raised by this practice by compiling the insights of the leading lights in the field, including criminal law professors who specialize in the field of corporate criminal liability and criminal law, a top economist at the SEC who studies corporate wrongdoing, and a leading expert on the use of monitors in criminal law. The essays in this volume move beyond criticisms of the practice to closely examine exactly how regulation by prosecutors works. Broadly, the contributors consider who should police corporate misconduct and how it should be policed, and in conclusion offer a policy blueprint of best practices for federal and state prosecution. Contributors: Cindy R. Alexander, Jennifer Arlen, Anthony S. Barkow, Rachel E. Barkow, Sara Sun Beale, Samuel W. Buell, Mark A. Cohen, Mariano-Florentino Cuellar, Richard A. Epstein, Brandon L. Garrett, Lisa Kern Griffin, and Vikramaditya Khanna

Author: Jean Harvey
Publisher: Quality Press
ISBN: 1636940064
Category : Business & Economics
Languages : en
Pages : 335

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Different types of organizations provide services that require multiple, complex services to produce results. Oftentimes, those complex services morph into a maze of system processes that crisscross, impeding the smooth operation of processes and value creation. So how can you manage multiple services efficiently and effectively? This book outlines the strategy and execution needed to meet your goals. Numerous examples, exercises, and tools are included to help explain and clarify. The revised fourth edition includes a new focus on the impact of artificial intelligence in complex services, as well as links to video clips and podcasts. Professionals, semi-professionals, and technical workers in all areas, from law to medicine, accounting to engineering, social work to architecture, will find this book an invaluable tool in achieving success.

Author:
Publisher: DIANE Publishing
ISBN: 1437984460
Category :
Languages : en
Pages : 37

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Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 784

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