Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
The Securities Enforcement Manual
Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
The Securities Enforcement Manual
Author: Roger M. Adelman
Publisher: Section of Administrative Law and Regulatory an Bar Associat
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
Book Description
Publisher: Section of Administrative Law and Regulatory an Bar Associat
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
Book Description
SEC Compliance and Enforcement Answer Book 2015
Author: David M. Stuart
Publisher:
ISBN: 9781402424717
Category : Corporation law
Languages : en
Pages : 0
Book Description
SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Publisher:
ISBN: 9781402424717
Category : Corporation law
Languages : en
Pages : 0
Book Description
SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
United States Attorneys' Manual
Author: United States. Department of Justice
Publisher:
ISBN:
Category : Justice, Administration of
Languages : en
Pages : 720
Book Description
Publisher:
ISBN:
Category : Justice, Administration of
Languages : en
Pages : 720
Book Description
Enforcement Manual
Author: United States. Securities and Exchange Commission. Division of Enforcement
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 144
Book Description
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 144
Book Description
Securities Litigation
Author: Jonathan C. Dickey
Publisher: Practising Law Institute
ISBN: 9781402408175
Category : Actions and defenses
Languages : en
Pages : 0
Book Description
Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.
Publisher: Practising Law Institute
ISBN: 9781402408175
Category : Actions and defenses
Languages : en
Pages : 0
Book Description
Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.
Model Rules of Professional Conduct
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Writing Securities Research
Author: Jeremy Bolland
Publisher: John Wiley & Sons
ISBN: 1118181530
Category : Business & Economics
Languages : en
Pages : 253
Book Description
"There is a strong need for this book by Jeremy Bolland, which dissects all issues relating to securities research. The requirement for better research does not only apply to the US securities market but to securities markets all over the world. This book is relevant in any setting. It will equip analysts with many useful tools to help them achieve success." —Mark Mobius, President, Templeton Emerging Markets Fund "Jeremy Bolland's book is essential reading for all people involved in writing securities research. Moreover, it is not just a technical and legal guide, but also a timely reminder of the principles of good writing." —Andrew Leeming, Author of The Super Analysts "Knowing your ratios and spreadsheets is no longer enough to become an investment analyst. As Jeremy Bolland points out, you need to know your do's and don'ts of how to approach clients and companies. This guide to doing it properly is an obvious selection for the bookshelf of anyone who aspires to offer investment advice and a fine reference for anyone who receives such advice."—Jake van der Kamp, Financial Columnist, South China Morning Post "At last, here's a comprehensive yet easy-to-read guide explaining all the best practice principles involved in writing securities research. It is full of useful information. If all securities analysts followed the guidance that has been clearly laid out in this book by Jeremy Bolland, research enforcement regulators around the world would be out of a job. Anyone who is involved in writing and publishing research, or using research for investment decisions, from the novice to the expert, should read this book. I highly recommend it."—Anthony Espina, Chairman, Hong Kong Stockbrokers Association
Publisher: John Wiley & Sons
ISBN: 1118181530
Category : Business & Economics
Languages : en
Pages : 253
Book Description
"There is a strong need for this book by Jeremy Bolland, which dissects all issues relating to securities research. The requirement for better research does not only apply to the US securities market but to securities markets all over the world. This book is relevant in any setting. It will equip analysts with many useful tools to help them achieve success." —Mark Mobius, President, Templeton Emerging Markets Fund "Jeremy Bolland's book is essential reading for all people involved in writing securities research. Moreover, it is not just a technical and legal guide, but also a timely reminder of the principles of good writing." —Andrew Leeming, Author of The Super Analysts "Knowing your ratios and spreadsheets is no longer enough to become an investment analyst. As Jeremy Bolland points out, you need to know your do's and don'ts of how to approach clients and companies. This guide to doing it properly is an obvious selection for the bookshelf of anyone who aspires to offer investment advice and a fine reference for anyone who receives such advice."—Jake van der Kamp, Financial Columnist, South China Morning Post "At last, here's a comprehensive yet easy-to-read guide explaining all the best practice principles involved in writing securities research. It is full of useful information. If all securities analysts followed the guidance that has been clearly laid out in this book by Jeremy Bolland, research enforcement regulators around the world would be out of a job. Anyone who is involved in writing and publishing research, or using research for investment decisions, from the novice to the expert, should read this book. I highly recommend it."—Anthony Espina, Chairman, Hong Kong Stockbrokers Association
Securities Regulation
Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Guidelines Manual
Author: United States Sentencing Commission
Publisher:
ISBN:
Category : Sentences (Criminal procedure)
Languages : en
Pages : 24
Book Description
Publisher:
ISBN:
Category : Sentences (Criminal procedure)
Languages : en
Pages : 24
Book Description