. .
English
United States
Similar books
More/other books that might be very similar to this book
Search tools
Sign in
Share this book on...
Book recommendations
Latest news
Tip from find-more-books.com
Advertising
Paid advertisement
FILTER
- 0 Results
Lowest price: 50.82 €, highest price: 89.28 €, average price: 62.84 €
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - David P. McCaffrey
book is out-of-stock
(*)
David P. McCaffrey:

Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - new book

ISBN: 9780195354751

ID: 9780195354751

How Securities Firms Manage the Legal Hazards of Competitive Pressures Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms&apos internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar&apos s Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation. Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures: Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms&apos internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar&apos s Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation., Oxford University Press

New book Rheinberg-Buch.de
Ebook, Englisch, Neuware Shipping costs:Ab 20¤ Versandkostenfrei in Deutschland, Sofort lieferbar, DE. (EUR 0.00)
Details...
(*) Book out-of-stock means that the book is currently not available at any of the associated platforms we search.
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - David P. McCaffrey
book is out-of-stock
(*)

David P. McCaffrey:

Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - new book

ISBN: 9780195354751

ID: 9780195354751

How Securities Firms Manage the Legal Hazards of Competitive Pressures Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms` internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar`s Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation. Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures: Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms` internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar`s Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation., Oxford University Press

New book Rheinberg-Buch.de
Ebook, Englisch, Neuware Shipping costs:Ab 20¤ Versandkostenfrei in Deutschland, Sofort lieferbar, DE. (EUR 0.00)
Details...
(*) Book out-of-stock means that the book is currently not available at any of the associated platforms we search.
Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures - Oxford University Press
book is out-of-stock
(*)
Oxford University Press:
Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures - new book

ISBN: 9780195354751

ID: 5545110

Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National. Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail-often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of c. eBooks, Business, Finance & Law~~Laws of Specific Jurisdictions~~Financial Law, Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures ~~EBook~~9780195354751~~David P. Mccaffrey, David W. Hart, , Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures, David P. Mccaffrey, 9780195354751, Oxford University Press, 07/02/1998, , , , Oxford University Press

New book Hive.co.uk
MPN: , SKU 5545110 Shipping costs:zzgl. Versandkosten, plus shipping costs
Details...
(*) Book out-of-stock means that the book is currently not available at any of the associated platforms we search.
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - David P. McCaffrey
book is out-of-stock
(*)
David P. McCaffrey:
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures - used book

1980, ISBN: 9780195354751

ID: 9780195354751

Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail.A widely shared perception is that this sort of securities self-regulation does fail-often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and EBooks, Books~~Business & Economics~~Investments & Securities - General, Wall-Street-Polices-Itself~~David-P-McCaffrey, 999999999, Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures, David P. McCaffrey, 0195354753, Oxford University Press, , , , , Oxford University Press

Used Book Barnesandnoble.com
MPN: , SKU 9780195354751 Shipping costs:zzgl. Versandkosten, plus shipping costs
Details...
(*) Book out-of-stock means that the book is currently not available at any of the associated platforms we search.
Wall Street Polices Itself: How Securities Firms Manage the Legal ..
book is out-of-stock
(*)
Wall Street Polices Itself: How Securities Firms Manage the Legal .. - new book

ISBN: 9780195354751

ID: 1317aa10196e5fa91758988ccac72f0f

Libri, [PU: Oxford University Press]

New book Ibs.it
Nr. E9780195354751 Shipping costs:, 3 - 4 gg, zzgl. Versandkosten, plus shipping costs
Details...
(*) Book out-of-stock means that the book is currently not available at any of the associated platforms we search.

< to search results...
Details of the book
Wall Street Polices Itself How Securities Firms Manage the Legal Hazards of Competitive Pressures
Author:

P, MCCAFFREY DAVID

Title:

Wall Street Polices Itself How Securities Firms Manage the Legal Hazards of Competitive Pressures

ISBN:

9780195354751

Details of the book - Wall Street Polices Itself How Securities Firms Manage the Legal Hazards of Competitive Pressures


EAN (ISBN-13): 9780195354751
Publishing year: 1998
Publisher: Oxford University Press

Book in our database since 27.11.2007 13:42:28
Book found last time on 07.01.2017 15:53:38
ISBN/EAN: 9780195354751

ISBN - alternate spelling:
978-0-19-535475-1

< to search results...
< to archive...
Nearby books