Download or read book Rethinking Compliance Procedures to Combat Insider Trading at Broker Dealer Firms written by Jesudevan Viveganandam and published by . This book was released on 2017 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance programs enable an enterprise to protect and enhance shareholders' value and/or mitigate against the possibility of unexpected losses or damage to its reputation arising from violations of the law. Generally, most broker-dealer firms have or purport to have in place systems and processes designed to arrest compliance failures. Yet, despite over a staggering $300 billion dollars sunk into compliance costs since 2010, excluding surveillance technology and the employment of dedicated compliance officers, existing compliance procedures have been unable to upend the prevalence of insider trading. Indeed, almost every year the SEC continues to brings numerous insider trading cases. In 2015, FINRA's Office of Fraud Detection and Market Intelligence referred more than 800 fraud and insider trading cases to the SEC and other federal or state law enforcement agencies for additional investigation and prosecution. And in 2016, the SEC brought a total of 78 cases of insider trading. Several of those cases involve broker-dealers and when they do, they have typically involved individuals on the investment banking side of the broker-dealer or persons in other areas who routinely obtain material nonpublic information. This paper re-examines the inability of established internal control processes, built around technical systems and matrices, to adequately influence the control environment. To augment compliance programs, it proposes a holistic adoption of soft measures that affect the control consciousness of its employees. This creation of synergy between control processes and the control environment will more effectively create a compliance program that detects, reduces and deters lapses in judgment when it comes to guarding against illegal insider trading.
Download or read book Broker Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Download or read book Materials on the Law of Insider Trading written by C. Edward Fletcher and published by . This book was released on 1991 with total page 658 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Coping with Broker dealer Regulation Enforcement written by and published by . This book was released on 1999 with total page 332 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Broker dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Coping with Broker dealer Regulation Increasing Enforcement written by and published by . This book was released on 2008 with total page 1230 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Trading written by William K. S. Wang and published by Aspen Publishers. This book was released on 1996 with total page 1288 pages. Available in PDF, EPUB and Kindle. Book excerpt: Here, at last, is a clear, practical guide on what's legal and what isn't in insider trading. It's the only book that gives you everything you need to: Identify every potential source of insider trading liability -- Deter inadvertent violations with an effective compliance program -- Raise powerful defenses to government and private actions, formations, and transactions. With comprehensive, up-to-date coverage and analysis of such significant aspects as government enforcement, which private plaintiffs can sue, and transnational transactions, you'll find more information -- and more readily usable strategy -- than in any other source on the subject. In one convenient volume, Insider Trading shows you all the ways to avoid liability exposure under all applicable law, including: The Supreme Court case, United States v. O'Hagan -- Federal mail and wire fraud statutes -- Section 10(b) and Section 16(b) -- Bilateral treaties and SEC memoranda with 21 foreign jurisdictions -- Transnational transactions -- State law pitfalls.
Download or read book Investment Adviser s Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Download or read book Ferrara on Insider Trading and the Wall written by Ralph C. Ferrara and published by . This book was released on 1995 with total page 730 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Trading and Other Securities Fraud written by and published by . This book was released on 1987 with total page 414 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Trading Fraud and Fiduciary Duty Under the Federal Securities Laws written by and published by . This book was released on 1990 with total page 468 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Fair Disclosure and Insider Trading Reforms written by James Hamilton and published by . This book was released on 2000 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Crime written by Barry Alexander K. Rider and published by Jordan Publishing (GB). This book was released on 1993 with total page 166 pages. Available in PDF, EPUB and Kindle. Book excerpt: Part IV of the Criminal Justice Act 1993 repeals the Company Securities (Insider Dealing) Act 1985 and dramatically reforms the law on insider crime. This book sets out to prepare securities dealers and their clients for the new constraints. It is divided into four sections, covering: background, including the European Directive on insider dealing, common law and the parliamentary debates; commentary, comprising an analysis of the new law set in the context of the reformed regime; practice, dealing with discussion of the core rules, the problems likely to arise and enforcement issues; and Part IV of the Act.
Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Download or read book Insider Trading written by William K. S. Wang and published by . This book was released on 2006 with total page 966 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation Law Report written by and published by . This book was released on 2001 with total page 1004 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Market Issues for the 21st Century written by Merritt B. Fox and published by . This book was released on 2018 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:
