By Sanjay Anand
An govt evaluation of the recent monetary rules Act
This booklet presents an government precis of the newly handed monetary rules Act. It examines an important sections of the Act, the way it affects the monetary undefined, in addition to what executives needs to comprehend and do on the way to agree to the Act.
- One of the 1st books to supply an government precis from a compliance viewpoint
- Presents obligations of senior point executives relating to this new Act
- Reveals what has replaced in the regulatory setting
- Provides information and strategies throughout
Describing the govt legislation of securities, securities markets, and securities transactions within the usa, this well timed booklet succinctly defines, describes, and explains family securities legislation for compliance officials, accountants, and broker-dealers.Content:
Chapter 1 advent to the Dodd–Frank Act (pages 1–5):
Chapter 2 historical past and historical past (pages 6–14):
Chapter three Key Titles and Sections (pages 15–83):
Chapter four associations Impacted (pages 84–92):
Chapter five Dodd–Frank Act Rulemaking (pages 93–103):
Chapter 6 position of latest and present enterprises (pages 104–116):
Chapter 7 international influence and Implications (pages 117–127):
Chapter eight recommendation for particular Professions (pages 128–138):
Chapter nine courting with SOX and the Basel Accords (pages 139–143):
Chapter 1 approximately SOX Institute and the GRC workforce (page 181):
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Extra resources for Essentials of the Dodd-Frank Act
The corporation is subject to all legally enforceable perfected securities interests and all legally enforceable security entitlements in respect of assets held by covered ﬁnancial company. The corporation can be involved in the liquidating and concluding of affairs of a covered ﬁnancial company according to the manner it deems appropriate. The corporation can sell the assets of the covered ﬁnancial company or transfer the assets to a bridge ﬁnancial company. The corporation can appoint itself as the receiver of a covered subsidiary of a covered ﬁnancial company.
The orderly liquidation is modeled on the resolution authority under the Federal Deposit Insurance Act (FDIA) for the insured depository institutions. Some of the powers vested on the FDIC allow it to: take over the ﬁnancial company’s assets and operate it, sell the assets or transfer the assets to a bridge ﬁnancial company, merge the ﬁnancial company with another company; value and prioritize claims; avoid fraudulent transfers and preferences; prioritize administrative expenses of the receiver; prohibit settlements with secrecy agreements; create and operate bridge ﬁnancial companies.
Grasp the regulatory changes for depository institutions and depository institution holding companies, including the Volcker Rule. Understand the regulatory frameworks for over-the-counter and security-based swap markets. 15 16 Key Titles and Sections Recognize changes to ﬁnancial market payments, payment clearing, and settlement systems. Understand the Securities and Exchange Commission’s Ofﬁce of Credit Ratings and Investor Advisory Committee. Understand the role of the new Bureau of Consumer Financial Protection.