Training Guide On Regulatory Frameworks And Market Surveillance
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Training Guide On Regulatory Frameworks And Market Surveillance
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Author : Economic Commission for Europe
language : en
Publisher: United Nations
Release Date : 2019-05-14
Training Guide On Regulatory Frameworks And Market Surveillance written by Economic Commission for Europe and has been published by United Nations this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-05-14 with Political Science categories.
The training manual presents the primary content areas of the training module and offers fundamental guidance and advice to trainers, so they may conduct their workshops in an efficient and informed manner. In addition to practical information, the manual advises readers on best practice in the delivery of modules, outlines key training competencies and proposes certain solutions to challenges commonly encountered throughout workshop preparation and delivery. The modules and training supports contained in this guide can also be used in the training of trainers programme on risk-based regulatory frameworks. The guide will instruct trainers in teaching how to design regulatory systems that result in an efficient, effective and transparent management of risks, in particular the risks related to the implementation of Agenda 2030.
Market Abuse Regulation
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Author : Marco Ventoruzzo
language : en
Publisher: Oxford University Press, USA
Release Date : 2017
Market Abuse Regulation written by Marco Ventoruzzo and has been published by Oxford University Press, USA this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017 with Antitrust law categories.
This book analyses the European market abuse regime contained in the Market Abuse Regulation (MAR) and related directives and regulations. Written by leading scholars in the field of capital market law from a number of European jurisdictions, the book is divided into two main parts. The first consists of chapters considering relevant issues by topic; whilst the second provides the first article-by-article commentary on the Regulation, with a detailed and technical analysis of its terms. In the first part guidance is arranged by topic and includes aspects not directly addressed by MAR such as enforcement, and the impact of US securities regulation. As well as considering the sources of market abuse regulation in general, this first part also examines its theoretical and economic framework in order to provide better understanding of the Regulation itself.
Safe Medical Devices For Children
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Author : Institute of Medicine
language : en
Publisher: National Academies Press
Release Date : 2006-01-20
Safe Medical Devices For Children written by Institute of Medicine and has been published by National Academies Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-01-20 with Medical categories.
Innovative medical devices have helped reduce the burden of illness and injury and improve the quality of life for countless children. Mechanical ventilators and other respiratory support devices rescue thousands of fragile newborns every year. Children who once would have died of congenital heart conditions survive with the aid of implanted pacemakers, mechanical heart valves, and devices that close holes in the heart. Responding to a Congressional request, the Institute of Medicine assesses the system for postmarket surveillance of medical devices used with children. The book specifically examines: The Food and Drug Administration's monitoring and use of adverse event reports The agency's monitoring of manufacturers' fulfillment of commitments for postmarket studies ordered at the time of a device's approval for marketing The adequacy of postmarket studies of implanted devices to evaluate the effects of children's active lifestyles and their growth and development on device performance Postmarket surveillance of medical devices used with children is a little investigated topic, in part because the market for most medical products is concentrated among older adults. Yet children differ from adults, and their special characteristics have implications for evaluation and monitoring of the short- and long-term safety and effectiveness of medical devices used with young patients.
Governance Compliance And Supervision In The Capital Markets
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Author : Sarah Swammy
language : en
Publisher:
Release Date : 2018
Governance Compliance And Supervision In The Capital Markets written by Sarah Swammy and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018 with Capital market categories.
"The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business."--
Handbook For Evaluating Infrastructure Regulatory Systems
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Author : Ashley C. Brown
language : en
Publisher: World Bank Publications
Release Date : 2006-01-01
Handbook For Evaluating Infrastructure Regulatory Systems written by Ashley C. Brown and has been published by World Bank Publications this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-01-01 with Business & Economics categories.
More than 200 new infrastructure regulators have been created around the world in the last 15 years. They were established to encourage clear and sustainable long-term economic and legal commitments by governments and investors to encourage new investment to benefit existing and new customers. There is now considerable evidence that both investors and consumers-the two groups that were supposed to have benefited from these new regulatory systems-have often been disappointed with their performance. The fundamental premise of this book is that regulatory systems can be successfully reformed only if there are independent, objective and public evaluations of their performance. Just as one goes to a medical doctor for a regular health checkup, it is clear that infrastructure regulation would also benefit from periodic checkups. This book provides a general framework as well as detailed practical guidance on how to perform such "regulatory checkups."
Operational Risk Management
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Author : Philippa X. Girling
language : en
Publisher: John Wiley & Sons
Release Date : 2013-09-17
Operational Risk Management written by Philippa X. Girling and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-09-17 with Business & Economics categories.
A best practices guide to all of the elements of an effective operational risk framework While many organizations know how important operational risks are, they still continue to struggle with the best ways to identify and manage them. Organizations of all sizes and in all industries need best practices for identifying and managing key operational risks, if they intend on exceling in today's dynamic environment. Operational Risk Management fills this need by providing both the new and experienced operational risk professional with all of the tools and best practices needed to implement a successful operational risk framework. It also provides real-life examples of successful methods and tools you can use while facing the cultural challenges that are prevalent in this field. Contains informative post-mortems on some of the most notorious operational risk events of our time Explores the future of operational risk in the current regulatory environment Written by a recognized global expert on operational risk An effective operational risk framework is essential for today's organizations. This book will put you in a better position to develop one and use it to identify, assess, control, and mitigate any potential risks of this nature.
Financial Market Regulation And Reforms In Emerging Markets
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Author : Masahiro Kawai
language : en
Publisher: Brookings Institution Press
Release Date : 2011
Financial Market Regulation And Reforms In Emerging Markets written by Masahiro Kawai and has been published by Brookings Institution Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Business & Economics categories.
"In the wake of the global financial crisis that began in 2008, offers a systematic overview of recent developments in regulatory frameworks in advanced and emerging-market countries, outlining challenges to improving regulation, markets, and access in developing economies"--Provided by publisher.
Ensuring Quality To Gain Access To Global Markets
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Author : Martin Kellermann
language : en
Publisher: World Bank Publications
Release Date : 2019-04-09
Ensuring Quality To Gain Access To Global Markets written by Martin Kellermann and has been published by World Bank Publications this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-04-09 with Business & Economics categories.
In a modern world with rapidly growing international trade, countries compete less based on the availability of natural resources, geographical advantages, and lower labor costs and more on factors related to firms' ability to enter and compete in new markets. One such factor is the ability to demonstrate the quality and safety of goods and services expected by consumers and confirm compliance with international standards. To assure such compliance, a sound quality infrastructure (QI) ecosystem is essential. Jointly developed by the World Bank Group and the National Metrology Institute of Germany, this guide is designed to help development partners and governments analyze a country's quality infrastructure ecosystems and provide recommendations to design and implement reforms and enhance the capacity of their QI institutions.
Powering The Digital Economy Opportunities And Risks Of Artificial Intelligence In Finance
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Author : El Bachir Boukherouaa
language : en
Publisher: International Monetary Fund
Release Date : 2021-10-22
Powering The Digital Economy Opportunities And Risks Of Artificial Intelligence In Finance written by El Bachir Boukherouaa and has been published by International Monetary Fund this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-10-22 with Business & Economics categories.
This paper discusses the impact of the rapid adoption of artificial intelligence (AI) and machine learning (ML) in the financial sector. It highlights the benefits these technologies bring in terms of financial deepening and efficiency, while raising concerns about its potential in widening the digital divide between advanced and developing economies. The paper advances the discussion on the impact of this technology by distilling and categorizing the unique risks that it could pose to the integrity and stability of the financial system, policy challenges, and potential regulatory approaches. The evolving nature of this technology and its application in finance means that the full extent of its strengths and weaknesses is yet to be fully understood. Given the risk of unexpected pitfalls, countries will need to strengthen prudential oversight.
Nasdaq Glossary The Nasdaq Investor S Guide
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Author : Chetan Singh
language : en
Publisher: Chetan Singh
Release Date : 2023-10-11
Nasdaq Glossary The Nasdaq Investor S Guide written by Chetan Singh and has been published by Chetan Singh this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-10-11 with Business & Economics categories.
Are you an aspiring investor looking to navigate the complex world of NASDAQ with confidence? "NASDAQ Glossary: The NASDAQ Investor's Guide" is your essential companion to understanding and mastering the intricacies of this dynamic stock exchange. Inside the pages of this comprehensive guide, you'll find a treasure trove of information that demystifies the NASDAQ market. Whether you're a novice investor or a seasoned trader, this book serves as your indispensable reference, equipping you with the knowledge and terminology required to make informed decisions. Whether you aim to build a robust investment portfolio or simply seek to broaden your financial knowledge, "NASDAQ Terms: The NASDAQ Investor's Guide" is an indispensable resource. By the time you've turned the final page, you'll be equipped with the skills and confidence to navigate the NASDAQ market effectively and make informed investment decisions. Unlock the potential of NASDAQ with this invaluable guide, and embark on your journey towards financial success. Get ready to invest smarter, trade wiser, and secure your financial future with NASDAQ Glossary Book.