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1. |
Record Nr. |
UNINA9910817457203321 |
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Autore |
Kotz H. David |
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Titolo |
Financial regulation and compliance : how to manage competing and overlapping regulatory oversight / / H. David Kotz |
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Pubbl/distr/stampa |
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Hoboken, New Jersey : , : Wiley, , 2015 |
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©2015 |
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ISBN |
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1-118-97222-8 |
1-118-97224-4 |
1-118-97223-6 |
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Edizione |
[1st edition] |
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Descrizione fisica |
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1 online resource (251 p.) |
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Collana |
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Disciplina |
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Soggetti |
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Financial institutions - Law and legislation - United States |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Nota di bibliografia |
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Includes bibliographical references and index. |
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Nota di contenuto |
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Jurisdiction of regulators : who regulates whom and what -- How to strengthen governance and compliance in light of new regulations -- How to manage whistleblowers : complaints -- How to defend SEC examinations. |
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Sommario/riassunto |
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"Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of |
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terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance"-- |
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2. |
Record Nr. |
UNINA9911011291003321 |
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Autore |
Willard Dallas <1935-2013, > |
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Titolo |
The disappearance of moral knowledge / / Dallas Willard, Steven L. Porter, Aaron Preston and Gregg A. Ten Elshof |
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Pubbl/distr/stampa |
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Boca Raton, FL : , : Routledge, an imprint of Taylor and Francis, , [2018] |
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©2019 |
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ISBN |
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0-429-95887-0 |
0-429-49176-X |
0-429-95888-9 |
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Edizione |
[First edition.] |
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Descrizione fisica |
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1 online resource (420 pages) |
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Disciplina |
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Soggetti |
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Ethics, Modern - 20th century |
Civilization, Western - 20th century |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Nota di bibliografia |
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Includes bibliographical references and index. |
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Nota di contenuto |
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Moral knowledge disappears -- A science of ethics -- G.E. Moore: from science of ethics to nihilism -- Emotivism: the erasure of moral knowledge -- A rational form of noncognitivism, rational necessity relocated -- A consensus of rational people: social constructionism in Rawls -- Practices, traditions, and narratives: social constructionism in MacIntyre -- Prospects for a return of moral knowledge. |
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Sommario/riassunto |
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Based on an unfinished manuscript by the late philosopher Dallas Willard, this book makes the case that the 20th century saw a massive shift in Western beliefs and attitudes concerning the possibility of moral knowledge, such that knowledge of the moral life and of its conduct is no longer routinely available from the social institutions long thought to be responsible for it. In this sense, moral knowledge—as a publicly available resource for living—has disappeared. Via a detailed survey of main developments in ethical theory from the late 19th through the late 20th centuries, Willard explains philosophy’s role in this shift. In pointing out the shortcomings of these developments, he shows that the shift was not the result of rational argument or discovery, but largely of arational social forces—in other words, there was no good reason for moral knowledge to have disappeared. |
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