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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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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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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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Harry Markopolos and his team of financial sleuths discuss first-hand how they cracked the Madoff Ponzi scheme No One Would Listen is the thrilling story of how the Harry Markopolos, a little-known number cruncher from a Boston equity derivatives firm, and his investigative team uncovered Bernie Madoff's scam years before it made headlines, and how they desperately tried to warn the government, the industry, and the financial press. Page by page, Markopolos details his pursuit of the greatest financial criminal in history, and reveals the massive fraud, governmental incompetence, and crimin
Hedge funds --United States. --- Investment advisors --Corrupt practices --United States. --- Madoff, Bernard L. --- Ponzi schemes --United States. --- Securities fraud --United States --Prevention. --- United States. --Securities and Exchange Commission --Rules and practice. --- Ponzi schemes --- Investment advisors --- Hedge funds --- Securities fraud --- Social Welfare & Social Work --- Criminology, Penology & Juvenile Delinquency --- Social Sciences --- Corrupt practices --- Prevention --- Prevention. --- United States. --- Stock fraud --- Fund managers (Investment advisors) --- Investment advisers --- Investment counselors --- Investment houses (Investment advisors) --- Investment management firms --- Money managers (Investment advisors) --- Ponzi finance --- Ponzi games --- Madoff, Bernie --- Maidaofu --- S.E.C. (Agency) --- SEC (Agency) --- S.E.C.O. (Agency) --- SECO (Agency) --- Securities and Exchange Commission (U.S.) --- U.S. Securities and Exchange Commission --- Fraud --- Consultants --- Financial planners --- Swindlers and swindling --- 364.163092 --- 333.611 --- 333.645 --- 343.538 --- US / United States of America - USA - Verenigde Staten - Etats Unis --- Organisatie, reglement, bewaking --- Speculatie op de beurs --- Bedrog in bankverrichtingen --- Rules and practice.
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