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 Enforcement at the EPA written by Joel A. Mintz and published by Univ of TX + ORM. This book was released on 2012-05-10 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt: A former EPA chief attorney traces the tumultuous history of the agency’s enforcement efforts from the Nixon through the second Bush administrations. Based on 190 personal interviews with present and former enforcement officials at EPA, the U.S. Department of Justice, and key congressional staff members—along with extensive research among EPA documents and secondary sources—this book vividly recounts the often-tumultuous history of EPA’s enforcement program. It also analyzes some important questions regarding EPA’s institutional relationships and the Agency’s working environment. This revised and updated edition adds substantial new chapters examining EPA enforcement during the Clinton and George W. Bush administrations. Its treatment of issues of civil service decline and the applicability of captive agency theory is also new and original. The first published work to treat the historical evolution of EPA enforcement, this book provides a candid inside glimpse of a crucial aspect of the work of an important federal agency. “Explores the agency’s strengths and weaknesses . . . With insight and intimate knowledge of enforcement and compliance, Mintz relates an interesting story.” —Ecology Law Quarterly

Download or read book Pharmaceutical Compliance and Enforcement Answer Book written by Howard L. Dorfman and published by . This book was released on 2021 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Advanced Introduction to Environmental Compliance and Enforcement written by Paddock, Lee and published by Edward Elgar Publishing. This book was released on 2021-09-21 with total page 212 pages. Available in PDF, EPUB and Kindle. Book excerpt: This Advanced Introduction provides a clear and accessible guide to the essential elements of environmental compliance and enforcement programs. It examines compliance programs designed to assist regulated entities in meeting their obligations, as well as enforcement tools designed to address non-compliance - such as administrative, civil judicial, and criminal enforcement. Offering an insightful overview of this important area, LeRoy C. Paddock highlights recent developments that are changing the way compliance and enforcement work is practiced.

Download or read book Research Handbook on Corporate Crime and Financial Misdealing written by Jennifer Arlen and published by Edward Elgar Publishing. This book was released on 2018-04-28 with total page 389 pages. Available in PDF, EPUB and Kindle. Book excerpt: Jennifer Arlen brings together 13 original chapters by leading scholars that examine how to deter corporate misconduct through public enforcement and private interventions. Scholars from a variety of disciplines present both theoretical and empirical analyses of organizational and individual liability for corporate crime, liability for foreign corruption, securities fraud enforcement, compliance, corporate investigations, and whistleblowing. This Research Handbook also highlights promising avenues for future research.

Download or read book Corporate Compliance written by Sharon Oded and published by Edward Elgar Publishing. This book was released on 2013-01-01 with total page 337 pages. Available in PDF, EPUB and Kindle. Book excerpt: How to induce corporate compliance with regulations? Harsh punishments will cause companies to disguise violations, and mild punishments will cause companies to report their violations and make weak efforts to avoid them. In this book, Sharon Oded canvasses the history of thinking about corporate compliance, and he proposes his own candidate for the best law. This is a sophisticated account of legal incentives that will repay any reader interested in corporate compliance. Robert Cooter, University of California, Berkeley, US The effective control of corporate misconduct is a vital but elusive task for regulators, given the complexity of organization structures and the need to find the right balance between deterrent- and cooperative-based enforcement policies. In this powerful and comprehensive study, Sharon Oded argues for combining different approaches and boldly advocates, in particular, the use of third-party independent corporate monitoring firms to implement self-policing strategies. This will be essential reading for those involved in the theory or practice of regulatory corporate enforcement. Anthony Ogus, University of Manchester, UK and University of Rotterdam, The Netherlands This book considers how a regulatory enforcement policy should be designed to efficiently induce proactive corporate compliance. It first explores two major schools of thought regarding law enforcement, both the deterrence and cooperative approaches, and shows that neither of these represents an optimal regulatory enforcement paradigm from a social welfare perspective. It provides a critical analysis of recent developments in US Federal corporate liability regimes, and proposes a generic framework that better tailors sanction schemes and monitoring systems to regulatee performance. The proposed framework efficiently induces corporate proactive compliance, while maintaining an optimal level of deterrence. This insightful book will appeal to academics in law and economics, behavioral economics, criminology, and business, as well as to practitioners and policymakers.

Download or read book Examining Enforcement of the Foreign Corrupt Practices Act written by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Crime and Drugs and published by . This book was released on 2011 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book 2016 Catalog of Federal Domestic Assistance written by United States. Congress. Senate. Office of Management and Budget. Executive Office of the President and published by . This book was released on 2016 with total page 1780 pages. Available in PDF, EPUB and Kindle. Book excerpt: Identifies and describes specific government assistance opportunities such as loans, grants, counseling, and procurement contracts available under many agencies and programs.

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 Why People Pay Taxes written by Joel Slemrod and published by . This book was released on 1992 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: Experts discuss strategies for curtailing tax evasion

Download or read book Forbearance as Redistribution written by Alisha Holland and published by Cambridge University Press. This book was released on 2017-06-16 with total page 399 pages. Available in PDF, EPUB and Kindle. Book excerpt: The book explains why and when laws go unenforced in developing countries. It argues that the tolerance of street vending and squatting is a form of informal welfare provision and a more effective means to mobilize the poor than conventional state social policies.

Download or read book Congressional Record Index written by and published by . This book was released on 1991 with total page 1842 pages. Available in PDF, EPUB and Kindle. Book excerpt: Includes history of bills and resolutions.

Download or read book Code of Federal Regulations written by and published by . This book was released on 2008 with total page 1112 pages. Available in PDF, EPUB and Kindle. Book excerpt: Special edition of the Federal register. Subject/agency index for rules codified in the Code of Federal Regulations, revised as of Jan. 1 ...

Download or read book Departments of Commerce Justice Science and Related Agencies Appropriations for Fiscal Year written by United States. Congress. Senate. Committee on Appropriations and published by . This book was released on 2007 with total page 900 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Commerce Justice Science and Related Agencies Appropriations for Fiscal Year 2007 written by United States. Congress. Senate. Committee on Appropriations. Subcommittee on Commerce, Justice, Science, and Related Agencies and published by . This book was released on 2006 with total page 932 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Science the Departments of State Justice and Commerce and Related Agencies Appropriations for 2006 written by United States. Congress. House. Committee on Appropriations. Subcommittee on Science, State, Justice, and Commerce, and Related Agencies and published by . This book was released on 2005 with total page 986 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Oxford Handbook of White Collar Crime written by Shanna R. Van Slyke and published by Oxford University Press. This book was released on 2016-03-01 with total page 745 pages. Available in PDF, EPUB and Kindle. Book excerpt: Although white-collar crime has caused a substantial amount of damage on both the individual and societal levels, it often ranks below street crime as a matter of public concern. Thus, white-collar crime remains an ambiguous and even controversial topic among academics, with a relative dearth of scholarly focus on the issue. The Oxford Handbook of White-Collar Crime offers a comprehensive treatment of the most up-to-date theories and research regarding white-collar crime. Contributors tackle a vast range of topics, including the impact of white-collar crime, the contexts in which white-collar crime occurs, current crime policies and debates, and examinations of the criminals themselves. The volume concludes with a set of essays that discuss potential responses for controlling white-collar crime, as well as promising new avenues for future research. Uniting conceptual theories, empirical research, and ethnographic data, the Handbook provides the first unified analytic framework on white-collar crime. Given the astronomical aggregate losses to victims, building a more nuanced understanding of the dynamics of white-collar crime is a topic of immediate social concern. The definitive resource on white-collar crime, this Handbook will be a valuable resource for developing both intellectual and policy-related solutions.