Conflicts Of Interest In Self Regulation And Self Regulatory Organizations Sros Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition

Author by : The Law The Law Library
Language : en
Publisher by : Createspace Independent Publishing Platform
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Description : Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section


Conflicts Of Interest In Self Regulation

Author by : John W. Carson
Language : en
Publisher by : World Bank Publications
Format Available : PDF, ePub, Mobi
Total Read : 75
Total Download : 262
File Size : 50,9 Mb
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Description : Carson examines the implications of demutualization of financial exchanges for their roles as self-regulatory organizations. Many regulators and exchanges believe that conflicts of interest increase when exchanges convert to for-profit businesses. Demutualization also changes the nature of an exchange's regulatory role as broker-dealers' ownership interests are reduced. These factors are leading to reduced regulatory roles for exchanges in many jurisdictions. The resulting changes have significant implications for regulation of financial markets, especially as exchanges are the only self-regulating organizations (SROs) in most countries. Major changes in the role of exchanges require a rethinking of the allocation of regulatory functions and the role of self-regulation, as well as stronger mechanisms to mitigate conflicts of interest. Carson looks at the views of both exchanges and regulators on these issues in Asian, European, and North American jurisdictions where major exchanges have converted to for-profit businesses. He finds that views on the conflicts of interest faced by demutualized exchanges vary widely. In addition, the tools and processes used by exchanges and regulators to manage conflicts also differ significantly across jurisdictions. The author concludes that new and greater conflicts result from demutualization and canvasses the regulatory responses in the jurisdictions examined. This paper--a product of the Financial Sector Operations and Policy Department--is part of a larger effort in the department to study the development of securities markets in emerging markets.


Practitioner S Guide To Conflicts Of Interest In The Financial Services Industry

Author by : Robert Helm
Language : en
Publisher by : Sweet & Maxwell
Format Available : PDF, ePub, Mobi
Total Read : 95
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Description : This title examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry


Virtue Ethics And Professional Journalism

Author by : Aaron Quinn
Language : en
Publisher by : Springer
Format Available : PDF, ePub, Mobi
Total Read : 60
Total Download : 633
File Size : 54,9 Mb
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Description :


The Health Of Populations

Author by : Jack James
Language : en
Publisher by : Academic Press
Format Available : PDF, ePub, Mobi
Total Read : 87
Total Download : 810
File Size : 55,8 Mb
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Description : The Health of Populations: Beyond Medicine uses current research and in-depth analysis to provide insights into the issues and challenges of population health; a subject of increasing concern, due largely to rapid population growth, population aging, rising costs and diminishing resources, health inequality, and the global rise in noncommunicable diseases. Reducing the global burden of disease requires prevention of disease incidence, which is achievable through reduction of exposure to primary (behavioral) and secondary (biomedical) risk factors. The 15 chapters of the book are divided into three sections that focus on the science of health, the harm of medicine, and how to achieve optimal health. By highlighting the benefits of preventing incidence of disease, this book illustrates how biomedicine needs to be repositioned form being the dominant approach in healthcare to being an adjunct to behavioral, legislative, social, and other preventive means for optimizing population health. Heavily evidence-based and thoroughly referenced with hundreds of scientific citations Contains a glossary, as well as valuable tables, illustrations, and information boxes to further explain core content Provides fresh perspectives on issues related to rapid population growth, population aging, rising costs, diminishing resources, health inequality, and more Carefully distils extensive tracts of information, clarifies misunderstandings, and rebuts myths with the ultimate goal of encouraging better understanding of the action needed to promote optimal health for all


Securities Markets

Author by : Richard J. Hillman
Language : en
Publisher by : DIANE Publishing
Format Available : PDF, ePub, Mobi
Total Read : 33
Total Download : 879
File Size : 40,9 Mb
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Description : As competition among markets has increased, so have some market participants' concerns about the inherent conflicts of interest that securities self-regulatory organizations (SRO) face in their dual roles as market operators & regulators. This report describes how the SEC, the NASD, & the NYSE have been addressing concerns about: the impact of increased competition, including demutualization, on the ability of SROs to effectively regulate members with which they compete, & possible regulator inefficiencies associated with broker-dealer membership in multiple SROs. Describes alternative approaches that some securities market participants have discusses as a means of addressing concerns about the current self-regulatory structure.


Demutualization Of Securities Exchanges

Author by : Ms. Jennifer A. Elliott
Language : en
Publisher by : International Monetary Fund
Format Available : PDF, ePub, Mobi
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File Size : 51,8 Mb
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Description : Demutualization is a term used to describe the transition of a securities exchange from a mutual association of exchange members operating on a not-for-profit basis to a limited liability, for-profit company accountable to shareholders. Demutualization in its many forms has become a widespread phenomenon-one with increasing appeal in emerging market countries. Demutualization challenges the traditional approach to supervision of securities exchanges and raises issues regarding their role in the regulation and supervision of capital markets.


Conflicts Of Interest

Author by : Luc Thévenoz
Language : en
Publisher by : Kluwer Law International B.V.
Format Available : PDF, ePub, Mobi
Total Read : 33
Total Download : 322
File Size : 47,9 Mb
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Description : Conflicts of interest arise naturally in all walks of life, particularly in business life. As general and indeed inevitable phenomena, conflicts of interest should not be prohibited but properly managed. This book presents indepth analysis of such management in three areas of corporate governance where the conflict-of-interest problems are particularly acute: executive compensation, financial analysis, and asset management. ""Conflicts of Interest"" presents the results of a two-year-long research project bringing together academics and practitioners in both law and finance from Europe and the.