多德-弗兰克华尔街改革与个人消费者保护法案纲要 丛书 Essentials Of Dodd Frank Act 英文原版
￥ 268 6.9折 ￥ 390 九五品
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作者Sanjay Anand
出版社Wiley
ISBN9780470952337
出版时间2011-03
印刷时间2011-03
印数1千册
装帧平装
开本20开
纸张轻型纸
页数208页
字数1千字
定价390元
上书时间2024-11-17
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基本信息
Series:Essentials Series
Format:Paperback / softback 208 pages
Publisher:John Wiley & Sons Inc
Imprint:John Wiley & Sons Inc
ISBN:9780470952337
Published:5 Apr 2011
Weight:250g
Dimensions:159 x 228 x 15 (mm)
书籍信息仅供参考，具体以实物为准
书籍简介
新《金融监管法》的执行概述
本书提供了新通过的《金融监管法》的执行摘要。它研究了该法重要的部分，它是如何影响金融业的，以及为了遵守该法，行政人员必须知道什么，做什么。
首批从合规角度提供执行摘要的书籍之一
介绍了高层管理人员对这一新法案的责任
揭示了监管环境中的变化
提供了贯穿始终的提示和技巧
本书描述了美国政府对证券、证券市场和证券交易的监管，这本及时的书为合规官员、会计师和经纪商简洁地定义、描述和解释了国内证券监管。
An executive overview of the new Financial Regulations Act
This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act.
One of the first books to provide an executive summary from a compliance perspective
Presents responsibilities of senior level executives regarding this new Act
Reveals what has changed within the regulatory environment
Provides tips and techniques throughout
Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.
作者简介
SANJAY ANAND，CSOX，CGRC，是公认的治理、风险管理、合规和控制方面的专家，曾担任SOX和GRC研究所的主席，并担任公开合规和道德集团红皮书的指导委员会成员。他被授予了十多个荣誉行业证书和认证，包括NACD学院的CDE（董事教育证书）和ACFE的CFE（注册欺诈审查员）。
SANJAY ANAND, CSOX, CGRC, is a recognized expert in governance, risk management, compliance and controls, and has served as chairperson of the SOX and GRC Institutes, and as Steering Committee member of the Open Compliance and Ethics Group's Red Book. He has been accorded over a dozen honorary industry credentials and certifications including a CDE (Certificate in Director Education) from NACD Institute and a CFE (Certified Fraud Examiner) from ACFE.
目录
Foreword.
Preface.
Acknowledgments.
1 Introduction to the Dodd-Frank Act.
2 History and Background.
Financial Instability.
Scope.
Architects of the Dodd-Frank Act.
The Plan and Proposal.
Time Line.
Key Goals of the Act.
Summary.
Notes.
3 Key Titles and Sections.
Title I: Financial Stability.
Title II: Orderly Liquidation Authority.
Title III: Transfer of Powers to the Office of Comptroller of the Currency, Corporation, and Board of Governors.
Title IV: Regulation of Advisers to Hedge Fund and Others.
Title V: Insurance.
Title VI: Improvements to the Regulation of Bank and Savings Association Holding Companies and Depository Institutions.
Title VII: Wall Street Transparency and Accountability.
Title VIII: Payment, Clearing and Settlement Supervision.
Title IX: Investor Protections and Improvements to the Regulation of Securities.
Title X: Bureau of Consumer Financial Protection.
Title XI: Federal Reserve System Provisions.
Title XII: Improving Access to Mainstream Financial Institutions.
Title XIII: Pay It Back Act.
Title XIV: Mortgage Reform and Anti-Predatory Lending Act.
Title XV: Miscellaneous Provisions.
Title XVI: Section 1256 Contracts.
Summary.
4 Institutions Impacted.
Foreign Banking Organizations.
Derivatives.
Insurance companies.
Consumers and Mortgage Banking.
Brokers-Dealers.
Banks, Thrifts, and Bank Holding Companies.
Summary.
Note.
5 Dodd-Frank Act Rulemakings.
SEC and Rulemaking.
Corporate Governance.
Investment Advisers.
Securities Lending.
Arbitration.
Swaps.
Credit Rating Agencies.
Securitization.
Other Legislation.
Summary.
6 Role of New and Existing Agencies.
Financial Stability Oversight Council.
Office of Financial Research.
Bureau of Consumer Financial Protection.
Bank Holding Companies.
Non-bank Financial Companies.
Depository institutions.
Office of Thrift Supervision.
Federal Deposit Insurance Corporation.
Office of Comptroller of the Currency.
Orderly Liquidation Authority.
Securities Investor Protection Corporation.
Securities and Exchange Commission.
Federal Reserve Board.
Commodity Futures Trading Commission.
Government Accountability Office.
Summary.
Notes.
7 Global Impact and Implications.
Banking Industry.
Investment Industry.
Summary.
Note.
8 Advice for Specific Professions.
Executive Management.
Municipal Securities Markets.
Brokers-Dealers.
Investment Advisers.
Insurers.
Summary.
9 Relationship with SOX and the Basel Accords.
The Dodd-Frank Act and SOX.
The Dodd-Frank Act and the Basel Accords.
Summary.
Appendix A Contents of the Dodd-Frank Act.
Appendix B Effective Dates and Deadlines.
Glossary of Key Acronyms.
About SOX Institute and the GRC Group.
Index.
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