Download or read book SEC Compliance and Enforcement Answer Book 2015 written by David M. Stuart and published by . This book was released on 2015-08-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Download or read book Responsive Regulation written by Ian Ayres and published by Oxford University Press. This book was released on 1995-02-16 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book transcends current debate on government regulation by lucidly outlining how regulations can be a fruitful combination of persuasion and sanctions. The regulation of business by the United States government is often ineffective despite being more adversarial in tone than in other nations. The authors draw on both empirical studies of regulation from around the world and modern game theory to illustrate innovative solutions to this problem. Their ideas include an argument for the empowerment of private and public interest groups in the regulatory process and a provocative discussion of how the government can support and encourage industry self-regulation.
Download or read book North Korea Sanctions Regulations Us Office of Foreign Assets Control Regulation Ofac 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-11-26 with total page 58 pages. Available in PDF, EPUB and Kindle. Book excerpt: North Korea Sanctions Regulations (US Office of Foreign Assets Control Regulation) (OFAC) (2018 Edition) The Law Library presents the complete text of the North Korea Sanctions Regulations (US Office of Foreign Assets Control Regulation) (OFAC) (2018 Edition). Updated as of May 29, 2018 The Department of the Treasury's Office of Foreign Assets Control (OFAC) is amending the North Korea Sanctions Regulations and reissuing them in their entirety, in order to implement three recent Executive orders and to reference the North Korea Sanctions and Policy Enhancement Act of 2016 and the Countering America's Adversaries Through Sanctions Act. OFAC is also incorporating several general licenses that have, until now, appeared only on OFAC's website on the North Korea Sanctions page, adding several new general licenses, and adding and expanding provisions to issue a more comprehensive set of regulations that will provide further guidance to the public. Finally, OFAC is updating certain regulatory provisions and making other technical and conforming changes. Due to the number of regulatory sections being updated or added, OFAC is reissuing the North Korea Sanctions Regulations in their entirety. This book contains: - The complete text of the North Korea Sanctions Regulations (US Office of Foreign Assets Control Regulation) (OFAC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Anti Money Laundering Regulation and Compliance written by Alexander Dill and published by Edward Elgar Publishing. This book was released on 2021-06-25 with total page 288 pages. Available in PDF, EPUB and Kindle. Book excerpt: Anti-Money Laundering Regulation and Compliance: Key Problems and Practice Areas is a comprehensive treatment of the Anti-Money Laundering/Combatting the Financing of Terrorism (AML/CFT) compliance programs, recordkeeping and reporting requirements, and the best practices under the Bank Secrecy Act (BSA) and sanctions regulatory regimes. AML/CFT and sanctions provisions are highly interrelated. Onboarding and customer due diligence requirements generate the data entered into transaction monitoring and screening systems.
Download or read book The New Era of Regulatory Enforcement A Comprehensive Guide for Raising the Bar to Manage Risk written by Richard H. Girgenti and published by McGraw Hill Professional. This book was released on 2016-05-20 with total page 334 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Essential guidance for understanding and navigating the current enforcement environment. The New Era of Regulatory Enforcement should be required reading for all corporate executives and others responsible for meeting the challenges in this new era." --Lanny A. Breuer, Vice Chair, Covington & Burling LLP, and former Assistant Attorney General for the Criminal Division at the U.S. Department of Justice "A brilliant tour de force! Hedley and Girgenti offer readers insight into the dramatic changes in regulatory enforcement as well as the tools they need to manage this brave new world. It is an invaluable resource for executives, advisors, and scholars. The framework offered is compelling and actionable." --Batia Mishan Wiesenfeld, Ph.D., Andre J. L. Koo Professor of Management and Chair of the Department of Management and Organizations, Leonard N. Stern School of Business, New York University "Corporate managers face a daunting task complying with the tectonic changes in the regulatory landscape over the past few years. This book provides a detailed road map for how to operate within the letter and spirit of the law."
Download or read book United States Attorneys Manual written by United States. Department of Justice and published by . This book was released on 1985 with total page 720 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Improving the Quality of Care in Nursing Homes written by Institute of Medicine and published by National Academies Press. This book was released on 1986-02-01 with total page 432 pages. Available in PDF, EPUB and Kindle. Book excerpt: As more people live longer, the need for quality long-term care for the elderly will increase dramatically. This volume examines the current system of nursing home regulations, and proposes an overhaul to better provide for those confined to such facilities. It determines the need for regulations, and concludes that the present regulatory system is inadequate, stating that what is needed is not more regulation, but better regulation. This long-anticipated study provides a wealth of useful background information, in-depth study, and discussion for nursing home administrators, students, and teachers in the health care field; professionals involved in caring for the elderly; and geriatric specialists.
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book Criminal Law Principles and the Enforcement of EU and National Competition Law written by Marc Veenbrink and published by Kluwer Law International B.V.. This book was released on 2019-11-20 with total page 535 pages. Available in PDF, EPUB and Kindle. Book excerpt: Although Article 23(5) of EU Regulation 1/2003 provides that competition law fines ‘shall not be of a criminal law nature’, this has not prevented certain criminal law principles from finding their way into European Union (EU) competition law procedures. Even more significantly, the deterrent effect of competition law fines has led courts in the Netherlands and the United Kingdom (UK), as well as the European Court of Human Rights, to conclude that competition law proceedings can lead to a criminal charge. This book offers the first book-length study of whether courts do indeed apply criminal law principles in competition law proceedings and, if so, how these principles are adapted to the needs and characteristics of competition law. Focusing on competition law developments (both legislative and judicial) over a period of twenty years in three jurisdictions – the Netherlands, the UK and the EU – the author compares how each of the following (criminal law) principles has emerged and been interpreted in each jurisdiction’s proceedings: freedom from self-incrimination; non bis in idem; burden and standard of proof; legality and legal certainty; and proportionality of sanctions. The author offers proposals involving both legislative and judicial actions, with examples of judges invoking criminal law principles to develop an appropriate level of safeguards in competition law proceedings. The book shows that criminal law can provide a rich source of inspiration for the judiciary on the appropriate level of legal safeguards in competition law proceedings. As such, it provides an important source of information and guidance for lawyers and judges dealing with competition law matters. "The work is well argued and well researched. Indeed, it is almost encyclopaedic in its use and citation of case law and secondary material....This book provides a valuable resource for anyone (whether as advocate, investigator, adjudicator or academic researcher) who wishes to understand how these criminal law principles are used in, and to protect those subject to, administrative law-based competition investigations.” Bruce Wardhaugh (Lecturer at the University of Manchester) Common Market Law Review, 2021, vol 58, issue 1, page 236
Download or read book Enforcing Regulation written by K.O. Hawkins and published by Springer. This book was released on 2014-04-21 with total page 198 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation Enforcement and Governance in Environmental Law written by Richard Macrory Hon KC and published by Bloomsbury Publishing. This book was released on 2014-10-09 with total page 903 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation, Enforcement and Governance in Environmental Law is an updated edition of Richard Macrory's most influential writings. Spanning his entire career, these are all works which have helped shape contemporary environmental law and policy. The book includes the full text of his 2006 Cabinet Office Review on Regulatory Sanctions, new chapters on the Climate Change Act 2008, the Environment Tribunal, and analysis of recent leading cases. The book is divided into five thematic sections: Regulatory reform, Institutional Reform and Change, the Dynamics of Environmental Law, the Courts and the Environment and Europe and the Environment. Reviews of the first edition: 'This book is surely destined to become a 'must read' for anyone (academic, practitioner or student) interested in the development of regulation, enforcement, and environmental governance.' P Bishop, IUCN Academy of Environmental Law Journal 'An excellent reference work on environmental law....an extremely important and valuable edition to the environmental lawyer's bookshelf.' C Abbot, Journal of Environmental Law 'It is a rare to find a volume which consumes one's attention for 765 pages – and rarer still that such a blockbuster be a law book...This book is not solely for environmental enthusiasts – it should be essential reading for anyone concerned with the institutional reform, transparency and accountability in the UK and EU.' C MacKenzie, Cambridge Law Journal
Download or read book The Oxford Handbook of Classics in Public Policy and Administration written by Steven J. Balla and published by Oxford Handbooks. This book was released on 2015 with total page 673 pages. Available in PDF, EPUB and Kindle. Book excerpt: This Handbook brings together a collection of leading international authors to reflect on the influence of central contributions, or classics, that have shaped the development of the field of public policy and administration. The Handbook reflects on a wide range of key contributions to the field, selected on the basis of their international and wider disciplinary impact. Focusing on classics that contributed significantly to the field over the second half of the 20th century, it offers insights into works that have explored aspects of the policy process, of particular features of bureaucracy, and of administrative and policy reforms. Each classic is discussed by a leading international scholars. They offer unique insights into the ways in which individual classics have been received in scholarly debates and disciplines, how classics have shaped evolving research agendas, and how the individual classics continue to shape contemporary scholarly debates. In doing so, this volume offers a novel approach towards considering the various central contributions to the field. The Handbook offers students of public policy and administration state-of-the-art insights into the enduring impact of key contributions to the field.
Download or read book The Guide to Sanctions written by Rachel Barnes (Lawyer) and published by . This book was released on 2022 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book EU Law Enforcement written by Stefano Montaldo and published by Routledge. This book was released on 2021-02-22 with total page 511 pages. Available in PDF, EPUB and Kindle. Book excerpt: The existence of a structured enforcement system is an inherent feature of national legal orders and one of the core elements of State sovereignty. The very limited power to issue sanctions has often been deemed a gap in the EC legal order. Over the years, the situation has progressively changed. The Union’s institutional setting is growing in complexity and a variety of agencies has been or is expected to be endowed with law enforcement responsibilities. In addition, the so-called competence creep has led the EU to play an increasingly prominent role in several areas of EU law enforcement, including the issuing of sanctions. This book examines these developments, focusing on both the general features of the EU legal order and the analysis of key-substantive areas, such as banking and monetary union, environmental law, and data protection. The work thus presents a general framework for understanding EU sanctioning based on structural features and general legal principles. Part I develops an analytical framework, tracking the most significant evolutive patterns of EU sanctioning powers. Part II adopts a more practical approach focusing on specific issues and policy areas. The book bridges a gap in existing literature and sheds new light on the relationship between the exercise of jus puniendi and the evolution of EU integration.
Download or read book Regulatory Policy and Governance Supporting Economic Growth and Serving the Public Interest written by OECD and published by OECD Publishing. This book was released on 2011-10-25 with total page 155 pages. Available in PDF, EPUB and Kindle. Book excerpt: This report encourages governments to “think big” about the relevance of regulatory policy and assesses the recent efforts of OECD countries to develop and deepen regulatory policy and governance.
Download or read book Principled Regulation written by Australia. Law Reform Commission and published by . This book was released on 2002 with total page 1064 pages. Available in PDF, EPUB and Kindle. Book excerpt: The distinction between criminal and non-criminal (civil) penalty law and procedure is significant and adds to the subtlety of regulatory law. This Report finds that the distinction should be maintained and, where necessary, reinforced.
Download or read book Responding to Environmental Crimes written by Mark Wright and published by Springer Nature. This book was released on 2021-11-09 with total page 246 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides a critical study of environmental regulation and its enforcement in New Zealand, situated within green criminology. It seeks to address the question of whether the offences in the Resource Management Act 1991 are 'working', by drawing on a range of sources including: central government data, local government policies and reports on enforcement, information requests of councils, studies of local authority enforcement behaviour and case law to. Through highly layered and richly textured analysis, the project exposes the problems that can arise when an expansive approach is taken to offences, penalties and institutional arrangements in an environmental regulatory statute. It emphasizes how discussions of harm and what should be unlawful will ensure that law-makers' enforcement tools will align with their goals for punishment. It examines higher-level issues such as ‘wrongfulness’ and ‘criminality’ in the environmental regulatory context and explores the relevance of its findings to jurisdictions outside of New Zealand. It also discusses the pros and cons of criminalisation and punishment versus restoration. It speaks to those interested in green criminology, regulatory compliance and enforcement, and applications of criminal law.
