Regulatory institutions

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  • It has long been acknowledged that politics and regulatory capture can play an important role in dealing with financial institutions’ distress. The East Asia financial crisis meant a large number of distressed and closed intermediaries in an environment with many links between government, supervisors, politicians and financial institutions. This makes for a good event for studying how such connections affect the resolution of financial institutions’ distress. We investigate the occurrence of distress and closure decisions for...

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  • Established in 1995, the Interstate Technology & Regulatory Council (ITRC) is a state-led, national coalition of personnel from the environmental regulatory agencies of some 40 states and the District of Columbia; three federal agencies; tribes; and public and industry stakeholders. The organization is devoted to reducing barriers to, and speeding interstate deployment of, better, more cost-effective, innovative environmental techniques.

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  • Following the vote of the EU Parliament plenary session of 11 November 2010, and without formally waiting for the entry into force of the Directive expected for mid-2011, work on the implementation phase has started. This work will span more than two years, and will consist of two main pillars: Member States will draft their implementing legislation while the Commission and ESMA (former CESR)6 will work on so-called “Level 2” measures or technical and regulatory guidelines for implementation.

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  • Among their many provisions, the new law and the stock market rules together require that the board of a publicly traded company be composed of a majority of independent directors and that the board’s audit committee consist entirely of independent directors and have at least one member with financial expertise. They also impose restrictions on the types of services that outside auditors can provide to their audit clients. These wide-ranging legislative and regulatory changes were adopted in response to the widespread outcry that followed these scandals.

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  • Interdisciplinary work is much in demand from policy-makers and research funding bodies alike. Understanding social phenomena is said to require a move by the different sciences beyond their disciplinary silos and some of the most significant breakthroughs in our knowledge and understanding occur at the edges of disciplines. At the same time, individual career incentives usually demand publications in each respective discipline’s ‘top ten’ journals, offering a powerful counterweight to any attempt at working and publishing across disciplines.

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  • Chapter 3 - Non-bank financial institutions (NBFIs). In this chapter, you will learn to: Understand the role of NBFIs in the financial system, outline the financial products and services provided by NBFIs, describe NBFI’s principal sources and uses of funds, examine the regulatory system.

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  • The aim of this book is to study three essential components of modern finance – Risk Management, Asset Management and Asset and Liability Management, as well as the links that bind them together. It is divided into five parts: Part I sets out the financial and regulatory contexts that explain the rapid development of these three areas during the last few years and shows the ways in which the Risk Management function has developed recently in financial institutions.

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  • Over the past decades, investors, regulators, and industry self-regulatory bodies have forced banks, other financial institutions, and insurance companies to develop organizational structures and processes for the management of credit, market, and operational risk. Risk management became a hot topic for many institutions, as a means of increasing shareholder value and demonstrating the willingness and capability of top management to handle this issue.

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  • The authors would like to thank the European Agency for Safety and Health at Work, the Health and Safety Executive, the New Law Journal, the Sheffield Information Centre, HSE and the Institute of Employment Rights for giving permission to reproduce materials in this book. Every effort has been made to trace all the copyright holders, but if any have been inadvertently overlooked, the publishers will be pleased to make the necessary arrangements at the first opportunity.

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  • Many of us in the social sciences long to transfer knowledge across dis- ciplinary boundaries in a way that is true to our discipline yet useful to other disciplines. One way to satisfy this longing is to seize articles that address similar issues from dif erent disciplines and piece them together to forge new intellectual coherence that can push forward the frontiers of knowledge. This seems to be the way in which new i elds of study take root. While I applaud this style of scholarship and its development, this book attempts to do something a little dif erent....

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  • Publication of this book is a milestone for the Water Supply and Sanitation Collaborative Council. It demonstrates the Council's unique capacity to bring together water and sanitation professionals from industrialised and developing countries to formulate practical guidance on a key issue of the day. Industrialised countries have extensive experience of the problems caused by water pollution and the strategies and technologies available to control it.

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  • Over the past decades, investors, regulators, and industry self-regulatory bodies have forced banks, other financial institutions, and insurance companies to develop organizational structures and processes for the management of credit, market, and operational risk. Risk management became a hot topic for many institutions, as a means of increasing shareholder value and demonstrating the willingness and capability of top management to handle this issue.

    pdf578p transang4 01-10-2012 37 12   Download

  • Supported and approved by the National Institute of Justice (NIJ), the Technical Working Group on Education in Fraud and Forensic Accounting (TWG) is a diverse group of content area experts: professionals working across the broad spectrum of activities that constitute fraud prevention, deterrence, detection, investigation, and remediation (hereinafter "fraud") and forensic accounting.

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  • The ultimate responsibility for prudential standard-setting and supervision for Tier 1 FHCs must rest with a single regulator. The public has a right to expect that a clearly identifiable entity, not a committee of multiple agencies, will be answerable for setting standards that will protect the financial system and the public from risks posed by the potential failure of Tier 1 FHCs.

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  • Europe's strength lies in the interconnection of our economies. The single market and the common currency have driven this forward, and the integrated economic policy making at the European level through the European semester is now drawing our economies together as never before. However, the crisis has shown that the single market for financial services can only deliver financial stability, economic growth and jobs if it is matched with a strong single regulatory and supervisory authority at EU level.

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  • The second model of social funds is a part of a ministry, for example, the Bolivia fund or FOSIS in Chile, which are at the second stage. They have more formal agreements with the ministries, they lay less em- phasis on emergency procurement, and civil service rules are followed more closely. Then there are the larger funds in Colombia, Costa Rica, and Mexico. These are usually large umbrella institutions. They have no autonomy. They are financed from the national budget. They implement or coordinate many social programs with the objective of reaching the poorest....

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  • Real assets definitely play a significant part in the portfolios of both private and institutional investors. The magnitude of the capital and current investments in real assets can, however, be only roughly estimated as investors – as described – can choose different forms of investment, the market volume of which is often not transparent. The purpose of the investment is also not always clear. For instance, an owner-occupied property is certainly a real asset investment. However, the house owner does not necessarily purchase or build a home with the aim of making a profit.

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  • The Interagency Working Group on Food Marketed to Children (Working Group), comprised of representatives from the Federal Trade Commission (FTC), the Centers for Disease Control and Prevention (CDC), the Food and Drug Administration (FDA), and the United States Department of Agriculture (USDA), seeks public comment on a preliminary proposal for voluntary principles to guide industry self-regulatory efforts to improve the nutritional profile of foods marketed to children.

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  • The use of radio-frequency communication—commonly referred to as wireless communication—is becoming more pervasive as well as more economically and socially important. Technological progress over many decades has enabled the deployment of several successive generations of cellular telephone technology, which is now used by many billions of people worldwide; the near-universal addition of wireless local area networking to personal computers; and a proliferation of actual and proposed uses of wireless communications.

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