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Peterson examines conditions and structures that led to abuses in the mutual fund industry. He seeks to provide understanding of not only the scandal's causes and its effects on investors, but also the regulatory response and reformation process. He breaks the scandal down into three parts: its root causes, regulatory responses by various actors, and attempts at reform and regulation. Key themes (e.g., why attorney generals were more successful in prosecuting this scandal than the SEC) are then identified to aid in a holistic understanding of the market timing and late trading scandal. The fin
Mutual funds -- Corrupt practices -- New York (State). --- Securities fraud -- New York (State). --- White collar crimes -- New York (State). --- Mutual funds --- Securities fraud --- White collar crimes --- Finance --- Business & Economics --- Investment & Speculation --- Corrupt practices --- Occupational crimes --- Stock fraud --- Investment companies --- Investment trusts --- Open-end mutual funds --- Profit-sharing trusts --- UITs --- Unit investment trusts --- Unit trusts --- Crime --- Fraud --- Investments --- Investment clubs --- E-books
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Securities --- Insider trading in securities --- Securities fraud --- Disclosure of information --- Insider trading in securities. --- Securities. --- Securities fraud. --- Information, Disclosure of --- Truthfulness and falsehood --- Stock fraud --- Fraud --- Inside information (Securities trading) --- Insider information (Securities trading) --- Insider trading --- Law and legislation --- Law and legislation. --- Arts and Humanities --- Business, Economy and Management --- Law --- Current Events & News --- Economics --- Stocks and Shares --- Trade and Commerce --- Regional and International Law
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Cette nouvelle édition fournit un commentaire article par article sur le règlement des abus de marché (MAR)Comprend à la fois une analyse technique des termes du règlement MAR et un examen thématique des sources, du cadre général et des questions connexes liées à la réglementation européenne sur les abus de marché.Rédigé par des spécialistes de premier plan dans le domaine du droit des marchés de capitaux, issus de plusieurs juridictions européennes.Nouveautés de cette édition :Mise à jour complète pour refléter l'impact d'un certain nombre de développements majeurs dans la législation et la jurisprudence suite à la mise en œuvre du règlement européen sur les abus de marché (MAR).Nouveaux chapitres sur les sanctions et le droit international privé et le droit international civil procédural.Une meilleure couverture de l'exécution privée dans les principales juridictions (France, Allemagne, Italie, Pays-Bas et Espagne).
Money market. Capital market --- European law --- Financial law --- European Union --- Financial services industry --- Capital market --- Insider trading in securities --- Securities fraud --- Law and legislation --- European Union. --- Stock fraud --- Fraud --- Inside information (Securities trading) --- Insider information (Securities trading) --- Insider trading --- Securities --- Capital markets --- Market, Capital --- Finance --- Financial institutions --- Loans --- Money market --- Crowding out (Economics) --- Efficient market theory --- Services, Financial --- Service industries
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Public companies now face constant pressure to meet investor expectations. A company must continually deliver strong short-term performance every quarter to maintain its stock price. This valuation treadmill creates incentives for corporations to deceive investors. Published more than twenty years after the passage of Sarbanes-Oxley, which requires all public companies to invest in measures to ensure the accuracy of their disclosures, The Valuation Treadmill shows how securities fraud became a major regulatory concern. Drawing on case studies of paradigmatic securities enforcement actions involving Xerox, Penn Central, Apple, Enron, Citigroup, and General Electric, the book argues that corporate securities fraud emerged as investors increasingly valued companies based on their future performance. Corporations now have an incentive to issue unrealistically optimistic disclosure to convince markets that their success will continue. Securities regulation must do more to protect the integrity of public companies from the pressure of the valuation treadmill.
Securities fraud. --- Securities --- Corporations. --- Valuation. --- Business corporations --- C corporations --- Corporations, Business --- Corporations, Public --- Limited companies --- Publicly held corporations --- Publicly traded corporations --- Public limited companies --- Stock corporations --- Subchapter C corporations --- Business enterprises --- Corporate power --- Disincorporation --- Stocks --- Trusts, Industrial --- Blue sky laws --- Capitalization (Finance) --- Investment securities --- Portfolio --- Scrip --- Securities law --- Underwriting --- Investments --- Investment banking --- Stock fraud --- Fraud --- Law and legislation
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Hematologic equipment industry --- New business enterprises --- Securities fraud --- Stock fraud --- Fraud --- Business starts --- Development stage enterprises --- How to start a business --- New companies --- Start-up business enterprises --- Start-up companies --- Start-ups (Business enterprises) --- Starting a business --- Startups (Business enterprises) --- Business enterprises --- Business incubators --- Medical instruments and apparatus industry --- Corrupt practices --- Holmes, Elizabeth Anne, --- Theranos (Firm) --- History. --- Firms and enterprises --- Theranos [Palo Alto, Calif.] --- E-books
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In the period between the 1840s and the 1920s the British economy was transformed, from small-scale capitalism dominated by individual traders and partnerships to a complex financial structure dominated by large, joint-stock companies. The tremendous growth of big business created a world of new opportunities for criminal exploitation. The promotion and management of public companies and the trading of commercial securities proved vulnerable to the white-collar crimes of fraud and embezzlement. Problems of financial fraud were exacerbated by a climate of laissez-faire which championed the most permissive commercial legislation in the world, and white-collar crime wreaked havoc on the modern British economy. This new book examines the spread of white-collar crime from the Victorian period to the early twentieth century and offers a new perspective on modern scandals.
343.91-057.3 --- Commercial crimes --- -Commercial crimes --- -Securities fraud --- -343.53 <41> --- Stock fraud --- Fraud --- Corporate crime --- Crimes, Financial --- Financial crimes --- Offenses affecting the public trade --- Crime --- Witteboordcriminaliteit. White-collar criminaliteit --- History --- -History --- -Commerciele fraude. Industriele fraude. Ongeoorloofde concurrentie--Verenigd Koninkrijk van Groot-Brittannië en Noord-Ierland --- Securities fraud --- 343.53 <41> Commerciele fraude. Industriele fraude. Ongeoorloofde concurrentie--Verenigd Koninkrijk van Groot-Brittannië en Noord-Ierland --- Commerciele fraude. Industriele fraude. Ongeoorloofde concurrentie--Verenigd Koninkrijk van Groot-Brittannië en Noord-Ierland --- 343.91-057.3 Witteboordcriminaliteit. White-collar criminaliteit --- 343.53 <41> --- Arts and Humanities
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Weaknesses in the enforcement of regulation have been targeted by the G-20 as a priority concern for reform. But enforcement efforts in securities markets have proven difficult and uneven. The recent scandal in the United States, wherein a Ponzi scheme orchestrated by Bernard Madoff went undetected by the U.S. authorities for more than two decades, has once again highlighted the importance of effective enforcement of securities regulation, as well as the challenges that securities regulators around the world face in implementing credible enforcement programs. While in many instances it is individuals who bear the losses, we show that noncompliance with securities law can have serious system-wide impact and that the credibility of the system as a whole rests on the existence of effective discipline-the probability of real consequences for failure to obey the law. This paper explores the elements of enforcement, why it is so challenging, why it is important, and whether its effects can be measured. Through an analysis of the data gathered in the World Bank/IMF Financial Sector Assessment Program (FSAP), the paper examines how enforcement is being carried out around the world and draws conclusions regarding how countries are meeting the challenge of effective enforcement.
Finance --- Business & Economics --- Investment & Speculation --- Securities industry. --- Securities fraud. --- Stock fraud --- Fraud --- Financial services industry --- Investments: General --- Public Finance --- Industries: Financial Services --- Business and Financial --- Corporation and Securities Law --- Taxation, Subsidies, and Revenue: General --- General Financial Markets: General (includes Measurement and Data) --- General Financial Markets: Government Policy and Regulation --- Financial Institutions and Services: Government Policy and Regulation --- Financial services law & regulation --- Public finance & taxation --- Investment & securities --- Securities regulation --- Legal support in revenue administration --- Securities --- Financial regulation and supervision --- Financial services --- Nonbank financial institutions --- Law and legislation --- Revenue --- Financial instruments --- United States
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343.538 --- Bedrog in bankverrichtingen. --- Financial law --- Capital structure --- Great Britain --- Investment advisors --- Securities industry --- Securities fraud --- Investment advisors - Great Britain. --- Securities industry - Great Britain. --- Securities fraud - Great Britain - Case studies. --- Stock fraud --- Fund managers (Investment advisors) --- Investment advisers --- Investment counselors --- Investment houses (Investment advisors) --- Investment management firms --- Money managers (Investment advisors) --- Case studies --- 339.4 --- 343.35 --- GB / United Kingdom - Verenigd Koninkrijk - Royaume Uni --- Financial services industry --- Fraud --- Consultants --- Financial planners --- Vermogensbeheer. Financiële analyse. Verspreiding van de beleggingsrisico's --- Misdrijven tegen de openbare administratie, de belasting- en administratieve wetgeving --- Bedrog in bankverrichtingen
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AA / International- internationaal --- EEC / European Union - EU -Europese Unie - Union Européenne - UE --- 382.242.4 --- 336.208 --- 343.35 --- 333.109 --- Eurodollars. Petrodollars. Euro-munten. Euro-uitgiften. --- Grondslag, vereffening, inning en controle van de belastingen. Fiscale fraude. Zwartwerk. Parallelle economie. --- Misdrijven tegen de openbare administratie, de belasting- en administratieve wetgeving. --- Veiligheid. Bankovervallen. Bankrisico's. --- Commercial crimes. --- Confidential communications --- Euro-dollar market. --- Securities fraud. --- Tax havens. --- Banking. --- Commercial crimes --- Euro-dollar market --- Securities fraud --- Tax havens --- Foreign tax havens --- Stock fraud --- Eurocurrency market --- Market, Euro-dollar --- Bank secrecy --- Banks and banking --- Corporate crime --- Crimes, Financial --- Financial crimes --- Offenses affecting the public trade --- Banking --- Veiligheid. Bankovervallen. Bankrisico's --- Grondslag, vereffening, inning en controle van de belastingen. Fiscale fraude. Zwartwerk. Parallelle economie --- Misdrijven tegen de openbare administratie, de belasting- en administratieve wetgeving --- Eurodollars. Petrodollars. Euro-munten. Euro-uitgiften --- Tax exemption --- Tax planning --- Fraud --- Banks and banking, International --- Foreign exchange --- International finance --- Crime
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In several Caribbean states, unregulated investment schemes grew quickly in recent years by claiming unusually high monthly returns and through a system of referrals by existing members. These are features shared with traditional Ponzi schemes and pyramid schemes. This paper describes the growth of such schemes, their subsequent collapse, and the policy response of regulators, and presents key policy lessons. The analysis and recommendations draw on country experiences in the Caribbean, and in such diverse countries as the United States, Colombia, Lesotho, and Albania.
Social Welfare & Social Work --- Social Sciences --- Criminology, Penology & Juvenile Delinquency --- Securities fraud --- Commercial crimes --- Corporate crime --- Crimes, Financial --- Financial crimes --- Offenses affecting the public trade --- Stock fraud --- Crime --- Fraud --- Banks and Banking --- Investments: General --- Money and Monetary Policy --- Public Finance --- Business and Financial --- Foreign Exchange --- General Financial Markets: Government Policy and Regulation --- Monetary Systems --- Standards --- Regimes --- Government and the Monetary System --- Payment Systems --- Banks --- Depository Institutions --- Micro Finance Institutions --- Mortgages --- General Financial Markets: General (includes Measurement and Data) --- Taxation, Subsidies, and Revenue: General --- Financial services law & regulation --- Monetary economics --- Banking --- Investment & securities --- Public finance & taxation --- Currency --- Foreign exchange --- Financial regulation and supervision --- Currencies --- Securities --- Legal support in revenue administration --- Money --- Financial institutions --- Revenue administration --- Financial services industry --- Law and legislation --- Banks and banking --- Financial instruments --- Revenue --- United States
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