Potential Conflicts Of Interest At The Sec
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Potential Conflicts Of Interest At The Sec
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Author : United States. Congress
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2017-12-09
Potential Conflicts Of Interest At The Sec written by United States. Congress and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-12-09 with categories.
Potential conflicts of interest at the SEC : the Becker case : joint hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services and the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, U.S. House of Representatives, One Hundred Twelfth
Potential Conflicts Of Interest At The Sec
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Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations
language : en
Publisher:
Release Date : 2012
Potential Conflicts Of Interest At The Sec written by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012 with categories.
Potential Conflicts Of Interest At The Sec
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Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations
language : en
Publisher:
Release Date : 2012
Potential Conflicts Of Interest At The Sec written by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012 with Biography & Autobiography categories.
Conflicts Of Interest In The Financial Services Industry
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Author : Andrew Crockett
language : en
Publisher: Centre for Economic Policy Research
Release Date : 2003
Conflicts Of Interest In The Financial Services Industry written by Andrew Crockett and has been published by Centre for Economic Policy Research this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with Conflict of interests categories.
The fifth report in this series focuses on conflicts of interest that arise when a firm combines multiple lines of business, creating multiple interests. Conflicts between research and underwriting in investment banking and between auditing and consulting in accounting firms are investigated, as are the problems that arise from rating agencies providing consulting services and from universal banks combining commercial and investment banking. In the recent stock market collapse, confidence in the financial industry was shaken by numerous scandals. Beginning with Enron in 2001, scandals brought about the demise of prominent financial figures, damaged the reputation of premiere firms and destroyed the global accounting giant Arthur Andersen. Central to this crisis was the exploitation of conflicts of interest. Research analysts at investment banks were found to be distorting information at the behest of underwriting departments eager to promote new issues. Auditors appeared to sanction misleading accounting in order to gain business for the consulting side of their firms. Policy response in the United States was quick. Large fines were levied and regulators compelled the separation of financial security function, constraining financial conglomerates. But are these new regulations and safeguards adequate protection? What costs do they impose on the industry? This fifth title in the ICMP/CEPR series of Geneva Reports on the World Economy examines the problem of conflicts of interest in the financial system. Conflicts of interest lead to a decrease in information that makes it harder for the system to provide savers wit the accurate, essential information that induces them to provide credit to borrowers. This study focuses on conflicts of interest that arise when a firm combines multiple lines of business, creating multiple interests. Conflicts between research and underwriting in investment banking and between auditing and consulting in accounting firms are investigated, as are the problems that arise from rating agencies providing consulting services and from universal banks combining commercial and investment banking. Determining the appropriate remedy for a conflict is a challenge because the elimination of conflicts may also eliminate benefits from economies of scope. This study examines five generic remedies: market discipline, regulation for increased transparency, supervisory oversight, separation of financial activities by function, and socialization of the collection and distribution of information. The authors apply this framework to assess critically the Sarbanes-Oxley Act and the Global Settlement between American regulators and investment banks.
The Sec S Proposed Rating Agency Rules
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Author : John P. Hunt
language : en
Publisher:
Release Date : 2008
The Sec S Proposed Rating Agency Rules written by John P. Hunt and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with categories.
On June 16, the SEC made public new rules intended to increase transparency and reduce conflicts of interest in the credit rating process for fixed-income instruments. The proposal may be most important for what it does not do: The SEC does not plan to forbid the quot;issuer-paysquot; system, in which the rating agencies are paid by the parties whose products are being evaluated. Although the SEC apparently has the power to ban issuer-pays and recognizes that the arrangement creates potential conflicts of interest, the proposed rules address issuer-pays only through a half measure that appears unlikely to be effective.
Securities And Exchange Commission Existing Post Employment Controls Could Be Further Strengthened
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Author : A. Nicole Clowers
language : en
Publisher: DIANE Publishing
Release Date : 2012-10-19
Securities And Exchange Commission Existing Post Employment Controls Could Be Further Strengthened written by A. Nicole Clowers and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-10-19 with Business & Economics categories.
Securities And Exchange Commission
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Author : U.s. Government Accountability Office
language : en
Publisher:
Release Date : 2017-08-13
Securities And Exchange Commission written by U.s. Government Accountability Office and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-08-13 with categories.
"Many Securities and Exchange Commission (SEC) employees leave the SEC each year, and some of these former employees go to work for firms regulated by SEC or the law or consulting firms that represent them. This practice raises questions about the potential impact on SEC's ability to effectively carry out its mission, including the potential for undue influence by former SEC employees on SEC matters or cases. The Dodd-Frank Wall Street Reform and Consumer Protection Act required GAO to examine the movement of former SEC employees to regulated firms and the associated concerns. Among other things, this report examines (1) the extent to which employees leave SEC to work for or represent regulated entities and the potential issues associated with such movements and (2) internal controls SEC has in place to manage potential conflicts of interest and how these controls compare across other agencies. To address these objectives, GAO analyzed data on former SEC employees, reviewed SEC's and other agencies' internal controls, and interviewed current and former SEC officials. GAO recommends that SEC establish standards for documentation of ethics advice on current and post-employment issues associated with the movement"
Conflicts Of Interest
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Author : United States. Congress. Senate. Judiciary
language : en
Publisher:
Release Date : 1962
Conflicts Of Interest written by United States. Congress. Senate. Judiciary and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1962 with categories.
Conflicts Of Interest
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Author : United States. Congress. Senate. Committee on the Judiciary
language : en
Publisher:
Release Date : 1962
Conflicts Of Interest written by United States. Congress. Senate. Committee on the Judiciary and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1962 with Bribery categories.
Considers H.R. 8140 and related S. 1902, to strengthen criminal statutes regarding conflict of interest, bribery, and corruption of Federal employees.
Capital Ideas Evolving
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Author : Peter L. Bernstein
language : en
Publisher: Wiley + ORM
Release Date : 2011-01-31
Capital Ideas Evolving written by Peter L. Bernstein and has been published by Wiley + ORM this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-31 with Business & Economics categories.
"A lot has happened in the financial markets since 1992, when Peter Bernstein wrote his seminal Capital Ideas. Happily, Peter has taken up his facile pen again to describe these changes, a virtual revolution in the practice of investing that relies heavily on complex mathematics, derivatives, hedging, and hyperactive trading. This fine and eminently readable book is unlikely to be surpassed as the definitive chronicle of a truly historic era." John C. Bogle, founder of The Vanguard Group and author, The Little Book of Common Sense Investing "Just as Dante could not have understood or survived the perils of the Inferno without Virgil to guide him, investors today need Peter Bernstein to help find their way across dark and shifting ground. No one alive understands Wall Street's intellectual history better, and that makes Bernstein our best and wisest guide to the future. He is the only person who could have written this book; thank goodness he did." Jason Zweig, Investing Columnist, Money magazine "Another must-read from Peter Bernstein! This well-written and thought-provoking book provides valuable insights on how key finance theories have evolved from their ivory tower formulation to profitable application by portfolio managers. This book will certainly be read with keen interest by, and undoubtedly influence, a wide range of participants in international finance." Dr. Mohamed A. El-Erian, President and CEO of Harvard Management Company, Deputy Treasurer of Harvard University, and member of the faculty of the Harvard Business School "Reading Capital Ideas Evolving is an experience not to be missed. Peter Bernstein's knowledge of the principal characters-the giants in the development of investment theory and practice-brings this subject to life." Linda B. Strumpf, Vice President and Chief Investment Officer, The Ford Foundation "With great clarity, Peter Bernstein introduces us to the insights of investment giants, and explains how they transformed financial theory into portfolio practice. This is not just a tale of money and models; it is a fascinating and contemporary story about people and the power of their ideas." Elroy Dimson, BGI Professor of Investment Management, London Business School "Capital Ideas Evolving provides us with a unique appreciation for the pervasive impact that the theory of modern finance has had on the development of our capital markets. Peter Bernstein once again has produced a masterpiece that is must reading for practitioners, educators and students of finance." Andr F. Perold, Professor of Finance, Harvard Business School