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- financial regulations
- Financial Regulations form a valuable part of the financial planning as it lays down the rules and regulations to be followed while making the finance plans for your business. This paper gives certain regulations pertaining to amount of dues, member’s liability, budgeting, reimbursement of expenses , accounts, budgeting committee etc....
- White papers
- Current Challenges In financial regulation
- Financial intermediation and financial services industries have undergone many changes in the past two decades due to deregulation, technological advances and globalization. The framework for regulating finance has seen many changes as well, with approaches adapting to new issues arising in specific groups of countries or globally. The objectives of...
- White papers 2006-11-22
- financial regulation: Industry Changes Prompt Need to Reconsider U.S. Regulatory Structure
- In light of the passage of the 1999 Gramm-Leach-Bliley Act and increased competition within the financial services industry at home and abroad, The paper reports on the current state of the U.S. financial services regulatory structure. This report describes the changes to the financial services industry, focusing on banking, securities,...
- White papers 2004-10-01
- Efficiency in financial regulation and Reform of Supervisory Authorities: A Survey in the APEC Region
- Traditionally, the financial regulation it used to structure itself on the basis of specialized organizations, each one responsible to supervise the intermediaries by the type of activity that was carried out. The current trend is toward an integrated model that reunites in one or two organizations the different functions that...
- White papers 2002-08-01
- financial regulation and Supervision in Emerging Markets: The Experience of Latin America Since the Tequila Crisis
- The increasing integration of international financial markets poses new challenges to domestic financial markets everywhere, but especially in developing countries. The financial crises of 1994-95 and 1997-98 sounded wake-up calls to Latin America and East Asia, respectively, indicating that regulation and supervision needed to be strengthened substantially. The paper begins...
- White papers 2001-10-02
- Using Deferred Compensation to Strengthen the Ethics of financial regulation
- Defects in the corporate governance of government-owned enterprises tempt opportunistic officials to breach duties of public stewardship. Corporate-governance theory suggests that incentive based deferred compensation could intensify the force that common-law duties actually exert on regulatory managers. Because government deposit insurance enterprises are purveyors of credit enhancements for which private...
- White papers 2001-07-01
- financial regulation: Emerging From the Shadows
- The topic of "Financial Regulation", and in particular the regulation of the banking industry, is frequently discussed nowadays by academics, other researchers, bankers, and the bank regulators and supervisors themselves. This paper analyzes the implications beyond Neo-Austrian economics. It exemplifies how classical inference can be unreliable when financial markets are...
- White papers 2001-06-12
Additional Resources
- Banking Regulation Versus Securities Market Regulation
- The purpose of this paper is to consider the inter-relationship of bank regulation and securities regulation in order to consider whether a move away from a bank-based financial system towards a market-based system is desirable in terms of crisis prevention. It considers banking regulation while also focuses on the regulation...
- White papers 2001-07-11
- Regulation: A Global Overview
- Liberalisation of financial markets during the 1980s has led, paradoxically, to a proliferation of financial regulation on an unprecedented scale. The speed with which money can be moved around the world - at the click of a mouse or return key - has frightening political, economic and fiscal implications, particularly...
- White papers 2005-07-01
- Model Regulation Requiring Annual Audited Financial Reports
- The purpose of this regulation is to improve the Insurance Department's surveillance of the financial condition of insurers by requiring an annual examination by independent certified public accountants of the financial statements reporting the financial position and the results of operations of insurers. Foreign or alien insurers filing audited financial...
- White papers 2004-04-13
- Protect and Survive: Regulation of E-commerce in the Financial Services Industry
- This white paper explains that regulation of financial services in the Internet age is characterized by uncertainty. The PricewaterhouseCoopers report "Protect and Survive -Regulation of e- commerce in the Financial Services Industry", challenges regulators and the industry's view in this area. The report challenges the industry to develop their e-regulation...
- White papers 2000-07-01
- An Overall Perspective on Banking Regulation
- The paper surveys the theory of banking regulation from the general perspective of regulatory theory. Starting by considering the different justifications of financial intermediation, it proceeds to identify the market failures that make banking regulation necessary. It then succinctly compares how the analysis of regulation compares in the domains of...
- White papers 2003-02-12
- Consultation Paper on Amendments to Regulation 663 of the Insurance Act Governing Insurance Agents in Ontario
- Regulation 663 governs the licensing and regulation of insurance agents in Ontario. It was last revised in 1995. In the past nine years, there have been changes in the marketing of financial services, in the business models seen in the financial services sector and most recently in the training process...
- White papers 2004-04-05
- Use Of NON -GAAP Financial Measures
- "On January 22, 2003, the SEC issued new Regulation G, governing public disclosures or releases of material information that include a non-GAAP financial measure. Regulation G requires an issuer to reconcile non-GAAP financial measures, such as EBITDA and certain pro forma financial information, to the most directly comparable GAAP financial...
- White papers 2003-01-01
- SEC Adopts Final Rules: Conditions for Use of Non-GAAP Financial Measures and Disclosure of Earnings Releases on Form 8-K
- The Securities and Exchange Commission (the "SEC") adopted final rules pursuant to Section 401(b) of the Sarbanes-Oxley Act of 2002 ("SOX") relating to the use of non-GAAP financial measures. The rules are being implemented through two separate, but related bodies of regulation: (1) new Regulation G, governing public disclosures or...
- White papers 2003-02-01
- Conditions For Use Of Non-GAAP Financial Measures-Securities And Exchange Commission
- As directed by the Sarbanes-Oxley Act of 2002, the new rules and amendments to address public companies' disclosure or release of certain financial information that is calculated and presented on the basis of methodologies other than in accordance with generally accepted accounting principles (GAAP). A new disclosure regulation, Regulation G,...
- White papers 2003-01-22
- Reconfiguring Environmental Regulation: The Future Public Policy Agenda
- Over the last decade, considerable thinking has gone into the issue of how to design more efficient and effective regulation. Much of this thinking has been in field of social regulation and that of environmental regulation in particular. While not all the innovations and insights that have emerged from a...
- White papers 2005-01-24
- Life Insurance: Regulation as Contract Enforcement
- Debating the minutiae of insurance regulation without a clear understanding of why insurance companies are regulated is futile. In this document, the author discusses the economic rationale for insurance business regulation. The paper concludes that the appropriate role of the regulator in this industry is to enforce contracts, which would...
- White papers 2004-04-19
- New Rules To Address The Conditions for Use of Non-GAAP Financial Information & Requirements for SEC Earnings Releases
- This article provides the information regarding the new rules adopted by SEC to address the conditions for use of Non-GAAP financial information under section 401(b) of Sarbanes-Oxley Act and the requirements companies have to furnish for earnings releases. This release adopts: New Regulation G, Amendments to Item 10 of...
- White papers 2003-01-24
- Regulating Derivatives: The Current System and Proposed Changes
- In this paper, the existing system of derivatives regulation is described and proposals for broader and stricter regulation are presented and evaluated. When the public policy concerns behind these proposals are carefully scrutinized, it turns out that there is little or no economic basis for an increase in regulation. Derivatives...
- White papers
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