securities and exchange commission regulations governing environmental financial disclosure
Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf
... Trading and Markets, Compliance Inspections and Examinations, Ethics, General Counsel, Inspector General, and International Affairs Your list should include at least one or two of CF, ENF, and TM ... to the Chairman, and it hires interns each semester The Commission encourages applications because the OIG serves an important mission and because it provides interns with hands-on educations ... to detect fraud, waste, and abuse, and to promote integrity, economy, efficiency and effectiveness The Office of Inspector General has two primary components: audits and investigations Interning...
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Securities and Exchange Commission: Consolidated Audit Trail pptx
... Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions) (“Large Trader Extension”) The Commission ... national securities exchange or automated facility of a national securities association.” 17 CFR 242.600(a)(35) II.C below.8 The commenters included national securities exchanges, a national securities ... efforts by SRO and Commission staff to collect and process detailed trade and order data, often from multiple and varied data sources (e.g., market participants, trading venues, and other SROs)...
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SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx
... realizable and being earned) are usually met by the time product or merchandise is delivered or services are rendered to customers, and revenues from manufacturing and selling activities and gains and ... Division of Corporation Finance and the Office of Chief Accountant in administering the disclosure requirements of the Federal securities laws Margaret H McFarland Deputy Secretary Date: December ... require a careful analysis of the facts and circumstances of the transaction, as well as an understanding of the rights and obligations of the parties, and the seller's customary business practices...
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U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx
... 2011 Actual Securities Transaction Fees under the Securities Exchange Act of 1934 (Section 31) Securities Registration Fees under the Securities Act of 1933 (Section 6(b)), and Merger and Tender ... delegations and staffs to exchange views concerning securities matters, such expenses to include necessary logistic and administrative expenses and the expenses of Commission staff and foreign ... market funds that the Commission adopted in FY 2010 IM plans to expand and improve its monitoring and oversight of money market funds and bring on additional staff with industry and computerized data...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part1 pptx
... Chairman, U.S Securities and Exchange Commission Why GAO Did This Study What GAO Found Pursuant to the Accountability of Tax Dollars Act of 2002, the United States Securities and Exchange Commission ... Securities and Exchange Commission Dear Ms Schapiro: The accompanying report presents the results of our audits of the financial statements of the United States Securities and Exchange Commission ... United States Securities and Exchange Commission (SEC) for fiscal years 2010 and 2009, we found • the financial statements as of and for the fiscal years ended September 30, 2010, and 2009, including...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf
... Management’s Discussion and Analysis Management’s Discussion and Analysis Management’s Discussion and Analysis T he U.S Securities and Exchange Commission s (SEC) Management’s Discussion and Analysis (MD&A) ... disposition; and (2) transactions are executed in accordance with the laws governing the use of budgetary authority and other laws and regulations that could have a direct and material effect on the financial ... the following laws and regulations: the Securities Exchange Act of 1934, as amended; the Securities Act of 1933, as amended; the Antideficiency Act; laws governing the pay and allowance system...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx
... price the portfolio securities in five funds and sold shares to investors based on the inflated prices Brookstreet Securities In December 2009, CEO Stanley C Brooks and Brookstreet Securities were ... Bally’s fraudulent financial accounting and disclosures In addition, six current and former Ernst & Young partners settled with the SEC The SEC found that Ernst & Young issued false and misleading ... Examinations and Oversight Financial Fraud Financial fraud can cost investors billions in lost equity Both companies and corporate officers are accountable to shareholders for timely and, especially,...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx
... establishes and maintains a regulatory environment that promotes high-quality disclosure, financial reporting, and governance, and prevents abusive practices by registrants, financial intermediaries, and ... and competitive manner, fostering capital formation and useful innovation Cost: $106.1 million The SEC adopts and administers rules and regulations that enable market participants to understand ... establishes and maintains a regulatory environment that promotes high-quality disclosure, financial reporting, and governance, and that prevents abusive practices by registrants, financial intermediaries,...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx
... opinion on the financial statements and on internal control over financial reporting and to report on tests of compliance with selected laws and regulations The OIG conducted 13 audits and reviews ... SEC's Financial Statements for Fiscal Years 2010 and 2009 Financial Statements Financial Statements Financial Section T his section of the Performance and Accountability Report contains the U.S Securities ... items, accounts, disclosures, and laws and regulations; • Major classes of transactions; • Relevant assertions, risks of material misstatement and control objectives; • Reporting and regulatory...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part6 docx
... the SEC fund accounting structure: the Securities and Exchange Commission Investor Protection Fund (Investor Protection Fund) and the Securities and Exchange Commission Reserve Fund (Reserve Fund) ... Years 2010 and 2009 Financial Statements F I N A N C I A L S E C T I O N U.S SECURITIES AND EXCHANGE COMMISSION Statement of Changes in Net Position For the years ended September 30, 2010 and 2009 ... R E P O R T GAO-11-202 SEC's Financial Statements for Fiscal Years 2010 and 2009 Financial Statements F I N A N C I A L S E C T I O N U.S SECURITIES AND EXCHANGE COMMISSION Statement of Budgetary...
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auditor independence, accounting firms, and the securities and exchange commission
... Journal, p C1 Securities and Exchange Commission (1997, May 21) SEC and AICPA announce the creation of a new Independence Standards Board (News release No 97-41) Securities and Exchange Commission ... maintain quality of financial reporting (Press release 1500-62) New York: Securities and Exchange Commission Retrieved from http:// www.sec.gov/news/audind.htm Securities and Exchange Commission (2000b, ... substantial restrictions on auditors and changes the structure of the development of accounting standards Ironically, the U.S Securities and Exchange Commission (SEC) and the accounting profession debated...
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Tài liệu SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 doc
... comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012, and Government ... investors; and (ii) is not covered under the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, Securities and Exchange Board of India (Collective Investment Schemes) Regulations, ... provisions of Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012 (3) After the repeal of Securities and Exchange Board of India (Venture Capital Funds) Regulations, ...
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United States Government Accountability Office GAO November 2008 Report to the Chairman, United States Securities and Exchange Commission_part1 potx
... 2008 FINANCIAL AUDIT Accountability Integrity Reliability Highlights Highlights of GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Securities and Exchange Commission' s ... Commission' s Financial Statements for Fiscal Years 2008 and 2007 Why GAO Did This Study What GAO Found Established in 1934 to enforce the securities laws and protect investors, the Securities and Exchange ... SEC’s fiscal year 2008 financial statements were reliable and (2) SEC’s management maintained effective internal control over financial reporting and compliance with laws and regulations GAO also...
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CURRENT VIETNAMESE LAWS AND REGULATIONS ON ENVIRONMENTAL PROTECTION
... five types of standards, a guide, and a set of terms and definitions that tie the verbiage of the standards together, including 15 sub-standards and a guide formerly designed as a standard The five ... articulate and achieve specified environmental goals, normally including at least compliance with environmental laws, management of other major environmental risks and liabilities, and potentially ... follow and will consequently achieve competitive advantage II ISO 14000 standards series and the prospects of EMS II.1 What is ISO 14000 standards series The world’s first standard for environmental...
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Tài liệu STOCKS, BONDS, MONEY MARKETS AND EXCHANGE RATES MEASURING INTERNATIONAL FINANCIAL TRANSMISSION docx
... framework for analyzing the degree of financial transmission between money, bond and equity markets and exchange rates within and between the United States and the euro area We find that asset ... the seminal papers by Engle, Ito and Lin (1990) and Andersen and Bollerslev (1998) find strong spillovers in foreign exchange markets, both in conditional first and second moments Finally, a related ... Another strand on international financial co-movements attempts to explain the evolution of financial spillovers through real and financial linkages of the underlying economies Heston and Rouwenhorst...
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