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Financial regulation and compliance : how to manage competing and overlapping regulatory oversight / / H. David Kotz
| Financial regulation and compliance : how to manage competing and overlapping regulatory oversight / / H. David Kotz |
| Autore | Kotz H. David |
| Edizione | [1st edition] |
| Pubbl/distr/stampa | Hoboken, New Jersey : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (251 p.) |
| Disciplina | 346.73/08 |
| Collana | Wiley Finance Series |
| Soggetto topico | Financial institutions - Law and legislation - United States |
| ISBN |
1-118-97222-8
1-118-97224-4 1-118-97223-6 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910131512203321 |
Kotz H. David
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| Hoboken, New Jersey : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Financial regulation and compliance : how to manage competing and overlapping regulatory oversight / / H. David Kotz
| Financial regulation and compliance : how to manage competing and overlapping regulatory oversight / / H. David Kotz |
| Autore | Kotz H. David |
| Edizione | [1st edition] |
| Pubbl/distr/stampa | Hoboken, New Jersey : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (251 p.) |
| Disciplina | 346.73/08 |
| Collana | Wiley Finance Series |
| Soggetto topico | Financial institutions - Law and legislation - United States |
| ISBN |
1-118-97222-8
1-118-97224-4 1-118-97223-6 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910817457203321 |
|
Kotz H. David
|
||
| Hoboken, New Jersey : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor
| Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor |
| Pubbl/distr/stampa | New York, : Nova Science Publishers, Inc., c2010 |
| Descrizione fisica | 1 online resource (195 p.) |
| Disciplina | 346.73/08 |
| Altri autori (Persone) | CowellLawrence P |
| Collana | Financial institutions and services |
| Soggetto topico |
Financial services industry - United States
Financial institutions - Law and legislation - United States Banking law |
| Soggetto genere / forma | Electronic books. |
| ISBN | 1-61728-071-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910461750403321 |
| New York, : Nova Science Publishers, Inc., c2010 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor
| Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor |
| Pubbl/distr/stampa | New York, : Nova Science Publishers, Inc., c2010 |
| Descrizione fisica | 1 online resource (195 p.) |
| Disciplina | 346.73/08 |
| Altri autori (Persone) | CowellLawrence P |
| Collana | Financial institutions and services |
| Soggetto topico |
Financial services industry - United States
Financial institutions - Law and legislation - United States Banking law |
| ISBN | 1-61728-071-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910790457803321 |
| New York, : Nova Science Publishers, Inc., c2010 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor
| Modernizing financial regulation [[electronic resource] /] / Lawrence P. Cowell, editor |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Nova Science Publishers, Inc., c2010 |
| Descrizione fisica | 1 online resource (195 p.) |
| Disciplina | 346.73/08 |
| Altri autori (Persone) | CowellLawrence P |
| Collana | Financial institutions and services |
| Soggetto topico |
Financial services industry - United States
Financial institutions - Law and legislation - United States Banking law |
| ISBN | 1-61728-071-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto |
Intro -- MODERNIZING FINANCIAL REGULATION -- MODERNIZING FINANCIAL REGULATION -- CONTENTS -- PREFACE -- FEDERAL FINANCIAL SERVICES REGULATORY CONSOLIDATION: AN OVERVIEW -- SUMMARY -- INTRODUCTION -- THE MAJOR FINANCIAL SERVICES REGULATORS -- SAFETY AND SOUNDNESS REGULATIONS -- BACKGROUND -- U.S. FUNCTIONAL AND COMPETITIVE REGULATORY STRUCTURE -- Regulatory Competition in Banking -- Regulatory Competition in Insurance -- Regulatory Competition in Securities -- Regulatory Competition in Commodity Futures and Options -- THE PROBLEM OF REGULATING IN THE CURRENT ENVIRONMENT -- PROPOSED CONSOLIDATION SOLUTIONS -- Banking -- Insurance -- Securities -- Consolidation in Other Countries -- Financial Services Authority of the United Kingdom -- The Financial Services Agency of Japan -- The Federal Financial Supervisory Authority (BaFin) -- U.S. REGULATORS ARE TRYING TO SPEAK WITH ONE VOICE -- SOME IMPLICATIONS -- End Notes -- FINANCIAL REGULATION: INDUSTRY TRENDS CONTINUE TO CHALLENGE THE FEDERAL REGULATORY STRUCTURE -- WHY GAO DID THIS STUDY -- WHAT GAO RECOMMENDS -- WHAT GAO FOUND -- ABBREVIATIONS -- RESULTS IN BRIEF -- BACKGROUND -- MEASURING THE COSTS AND BENEFITS OF REGULATION HAS BEEN DIFFICULT, COMPLICATING EFFORTS TO REDUCE REGULATORY BURDEN -- Regulators and the Financial Services Industry Face Challenges Measuring Regulatory Costs and Benefits -- Concerns Exist that Regulation Could Hinder Market Efficiency -- U.S. Regulators Have Reviewed Existing Regulations -- Forum Participants Shared Concerns Regarding Regulatory Burden -- We Have Recommended Improved Review of Regulations -- DEVELOPMENTS IN A DYNAMIC FINANCIAL INDUSTRY ENVIRONMENT POSE CHALLENGES TO THE FEDERAL FINANCIAL REGULATORY STRUCTURE -- Aspects of the Current Regulatory Structure Have Contributed to a Strong Financial System but also Create Challenges.
Key Trends Have Changed the Financial Services Industry -- Recent Legislative Changes Have Affected the Financial Services Industry -- Recent Industry Changes Demonstrate the Challenges Confronting Financial Regulators -- Consolidated Supervision of Holding Companies -- ILC Holding Company Regulation -- Basel II Implementation -- OCC Preemption and Charter Choice -- SEC and CFTC Joint Jurisdiction over Certain Products -- Regulators Have Often Collaborated to Respond to Regulatory Challenges but More Could be Done -- Accountability for Identifying and Responding to Risks that Span Financial Sectors Is Not Clearly Defined -- OPTIONS TO CHANGE THE FEDERAL FINANCIAL REGULATORY STRUCTURE -- Modernizing the Financial Regulatory System Remains a Challenge -- Some Lessons May Be Learned from the United Kingdom's FSA Model which Emphasizes a Principles-based Approach to Regulation -- Clear, Consistent Regulatory Goals Are Important Steps to Improve Regulatory Effectiveness -- Treasury Has Announced Plans to Consider Regulatory Structure Modernization -- APPENDIX I: PARTICIPANTS IN THE JUNE 11, 2007, COMPTROLLER GENERAL'S FORUM -- APPENDIX II: COMMENTS FROM THE CHAIRMAN OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM -- APPENDIX III: COMMENTS FROM THE CHAIRMAN OF THE NATIONAL CREDIT UNION ADMINISTRATION -- Related GAO Products -- End Notes -- FINANCIAL REGULATION: A FRAMEWORK FOR CRAFTING AND ASSESSING PROPOSALS TO MODERNIZE THE OUTDATED U.S. FINANCIAL REGULATORY SYSTEM -- WHY GAO DID THIS STUDY -- WHAT GAO FOUND -- ABBREVIATIONS -- BACKGROUND -- TODAY'S FINANCIAL REGULATORY SYSTEM WAS BUILT OVER MORE THAN A CENTURY, LARGELY IN RESPONSE TO CRISES OR MARKET DEVELOPMENTS -- Banking -- Securities -- Thrifts and Credit Unions -- Futures -- Insurance -- Secondary Mortgage Markets -- Gramm-Leach-Bliley. Accounting and Auditing -- Other Financial Institutions -- CHANGES IN FINANCIAL INSTITUTIONS AND THEIR PRODUCTS HAVE SIGNIFICANTLY CHALLENGED THE U.S. FINANCIAL REGULATORY SYSTEM -- Conglomeration and Increased Interconnectedness in Financial Markets Have Created Difficulties for a Regulatory System That Lacks a Systemwide Focus -- Existing Regulatory System Failed to Adequately Address Problems Associated with Less-Regulated Entities That Played Significant Roles in the U.S. Financial System -- Activities of Nonbank Mortgage Lenders Played a Significant Role in Mortgage Crisis but Were Not Adequately Addressed by Existing Regulatory System -- Activities of Hedge Funds Can Pose Systemic Risks not Recognized by Regulatory System -- Credit Rating Agency Activities Also Illustrate the Failure of the Regulatory System to Address Risks Posed by Less-Regulated Entities -- Regulatory System Failed to Identify Risks Associated with Special-Purpose Entities -- CREDIT RATINGS AND THE FINANCIAL CRISIS -- New and Complex Financial Products and Services Also Revealed Limitations in the Regulatory Structure -- New Complex Securitized Products Have Created Difficulties for Institutions and Regulators in Valuing and Assessing Their Risks -- Growth in OTC Derivatives Markets, Which Feature Complex Products That Are Not Regulated, Raised Regulator Concerns about Systemic Risk and Weak Market Infrastructure -- New Complex Products Have Also Created Challenges for Regulators in Ensuring Adequate Investor and Consumer Protection -- Increased Complexity and Other Factors Have Challenged Accounting Standard Setters and Regulators -- Globalization Will Further Challenge the Existing U.S. Regulatory System -- A FRAMEWORK FOR CRAFTING AND ASSESSING ALTERNATIVES FOR REFORMING THE U.S. FINANCIAL REGULATORY SYSTEM. 1. Clearly defined regulatory goals. -- 2. Appropriately comprehensive. -- 3. Systemwide focus. -- 4. Flexible and adaptable -- 5. Efficient and effective. -- 6. Consistent consumer and investor protection. -- 7. Regulators provided with independence, prominence, authority, a -- 8. Consistent financial oversight. -- 9. Minimal taxpayer exposure. -- COMMENTS FROM AGENCIES AND OTHER ORGANIZATIONS, AND OUR EVALUATION -- APPENDIX I: SCOPE AND METHODOLOGY -- APPENDIX II: AGENCIES AND OTHER ORGANIZATONS THAT REVIEWD THE DRAFT REPORT -- APPENDIX III: COMMENTS FROM THE AMERICAN BANKERS ASSOCIATION -- APPENDIX IV: COMMENTS FROM THE AMERICAN COUNCIL OF LIFE INSURERS -- APPENDIX V: COMMENTS FROM THE CONFERENCE OF STATE BANK SUPERVISORS -- APPENDIX VI: COMMENTS FROM CONSUMERS UNION -- APPENDIX VII: COMMENTS FROM THE CREDIT UNION NATIONAL ASSOCIATION -- APPENDIX VIII: COMMENTS FROM THE FEDERAL DEPOSIT INSURANCE CORPORATION -- APPENDIX IX: COMMENTS FROM THE MORTGAGE BANKERS ASSOCIATION -- APPENDIX X: COMMENTS FROM THE NATIONAL ASSOCIATION OF FEDERAL CREDIT UNIONS -- APPENDIX XI: COMMENTS FROM THE CENTER FOR RESPONSIBLE LENDING, THE NATIONAL CONSUMER LAW CENTER, AND THE U.S. PIRG -- End Notes -- STATEMENT OF GENE L. DODARO, ACTING COMPTROLLER GENERAL OF THE UNITED STATES, BEFORE THE CONGRESSIONAL OVERSIGHT PANEL ON FINANCIAL REGULATION -- SUMMARY -- TODAY'S FINANCIAL REGULATORY SYSTEM WAS BUILT OVER THE COURSE OF MORE THAN A CENTURY, LARGELY IN RESPONSE TO CRISES OR MARKET DEVELOPMENTS -- CHANGES IN FINANCIAL INSTITUTIONS AND THEIR PRODUCTS HAVE SIGNIFICANTLY CHALLENGED THE U.S. FINANCIAL REGULATORY SYSTEM -- A FRAMEWORK FOR CRAFTING AND ASSESSING ALTERNATIVES FOR REFORMING THE U.S. FINANCIAL REGULATORY SYSTEM -- 1. Clearly defined regulatory goals. -- 2. Appropriately comprehensive -- 3. Systemwide focus. 4. Flexible and adaptable -- 5. Efficient and effective. -- 6. Consistent consumer and investor protection. -- 7. Regulators provided with independence, prominence, authority, -- 8. Consistent financial oversight. -- APPENDIX I: AGENCIES AND OTHER ORGANIZATIONS THAT REVIEWED THE DRAFT REPORT -- Related GAO Products -- End Notes -- SPEECH BY TIMOTHY F. GEITHNER, PRESIDENT AND CEO, FEDERAL RESERVE BANK OF NEW YORK, AT THE ECONOMIC CLUB OF NEW YORK, JUNE 9, 2008 -- REDUCING SYSTEMIC RISK IN A DYNAMIC FINANCIAL SYSTEM -- Why Was the System so Fragile? -- FIRST REPAIR, THEN REFORM -- What Should Be Done to Reduce These Vulnerabilities? -- REGULATORY POLICY -- REGULATORY STRUCTURE -- CRISIS MANAGEMENT -- CONCLUSION -- CHAPTER SOURCES -- INDEX. |
| Record Nr. | UNINA-9910815289003321 |
| New York, : Nova Science Publishers, Inc., c2010 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel
| The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel |
| Autore | Skeel David A. <1961-> |
| Pubbl/distr/stampa | Hoboken, N.J., : Wiley, c2011 |
| Descrizione fisica | 1 online resource (242 p.) |
| Disciplina | 346.73/08 |
| Soggetto topico |
Financial services industry - Law and legislation - United States
Financial institutions - Law and legislation - United States |
| Soggetto genere / forma | Electronic books. |
| ISBN |
1-118-01492-8
1-282-94419-3 9786612944192 1-118-01490-1 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The corporatist turn in American regulation -- The Lehman myth -- Geithner, Dodd, Frank, and the legislative grinder -- Derivatives reform : clearinghouses and the plain-vanilla derivative -- Banking reform : breaking up was too hard to do -- Unsafe at any rate -- Banking on the FDIC (resolution authority I) -- Bailouts, bankruptcy, or better? (resolution authority II) -- Essential fixes and the new financial order -- An international solution?. |
| Record Nr. | UNINA-9910459093003321 |
|
Skeel David A. <1961->
|
||
| Hoboken, N.J., : Wiley, c2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel
| The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel |
| Autore | Skeel David A. <1961-> |
| Pubbl/distr/stampa | Hoboken, N.J., : Wiley, c2011 |
| Descrizione fisica | 1 online resource (242 p.) |
| Disciplina | 346.73/08 |
| Soggetto topico |
Financial services industry - Law and legislation - United States
Financial institutions - Law and legislation - United States |
| ISBN |
1-118-01492-8
1-282-94419-3 9786612944192 1-118-01490-1 |
| Classificazione | BUS000000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The corporatist turn in American regulation -- The Lehman myth -- Geithner, Dodd, Frank, and the legislative grinder -- Derivatives reform : clearinghouses and the plain-vanilla derivative -- Banking reform : breaking up was too hard to do -- Unsafe at any rate -- Banking on the FDIC (resolution authority I) -- Bailouts, bankruptcy, or better? (resolution authority II) -- Essential fixes and the new financial order -- An international solution?. |
| Record Nr. | UNINA-9910785456403321 |
|
Skeel David A. <1961->
|
||
| Hoboken, N.J., : Wiley, c2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel
| The new financial deal [[electronic resource] ] : understanding the Dodd-Frank Act and its (unintended) consequences / / David Skeel |
| Autore | Skeel David A. <1961-> |
| Pubbl/distr/stampa | Hoboken, N.J., : Wiley, c2011 |
| Descrizione fisica | 1 online resource (242 p.) |
| Disciplina | 346.73/08 |
| Soggetto topico |
Financial services industry - Law and legislation - United States
Financial institutions - Law and legislation - United States |
| ISBN |
1-118-01492-8
1-282-94419-3 9786612944192 1-118-01490-1 |
| Classificazione | BUS000000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The corporatist turn in American regulation -- The Lehman myth -- Geithner, Dodd, Frank, and the legislative grinder -- Derivatives reform : clearinghouses and the plain-vanilla derivative -- Banking reform : breaking up was too hard to do -- Unsafe at any rate -- Banking on the FDIC (resolution authority I) -- Bailouts, bankruptcy, or better? (resolution authority II) -- Essential fixes and the new financial order -- An international solution?. |
| Record Nr. | UNINA-9910812076103321 |
|
Skeel David A. <1961->
|
||
| Hoboken, N.J., : Wiley, c2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||