Legislative Calendar

Legislative Calendar
Author: United States. Congress. Senate. Committee on Energy and Natural Resources
Publisher:
Total Pages: 132
Release:
Genre: Energy policy
ISBN:

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Deepwater Horizon Liability

Deepwater Horizon Liability
Author: United States. Congress. Senate. Committee on Energy and Natural Resources
Publisher:
Total Pages: 88
Release: 2010
Genre: BP Deepwater Horizon Explosion and Oil Spill, 2010
ISBN:

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Wall Street Bank Involvement with Physical Commodities

Wall Street Bank Involvement with Physical Commodities
Author: Carl Levin
Publisher:
Total Pages: 403
Release: 2014-12-24
Genre:
ISBN: 9781457864902

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The U.S. Senate has been investigating case histories on the workings of the commodities markets, to ensure well-functioning markets with market-based prices, effective hedging tools, and safeguards against market manipulation, conflicts of interest, and excessive speculation. This is the report of an investigation of the recent rise of banks and bank holding companies as major players in the physical markets for commodities and related businesses. It presents case studies of three major U.S. bank holding companies, Goldman Sachs, JPMorgan Chase, and Morgan Stanley, that over the last decade were the largest bank holding company participants in physical commodity activities. The report shows how the tradition of separating banks from commerce is eroding, and along with it, protections from risks and potentially abusive conduct. It also shows how the Federal Reserve has taken insufficient steps to address this problem. Tables and figures. This is a print on demand report.

Strategies for Compliance

Strategies for Compliance
Author: Alan Brener
Publisher: Routledge
Total Pages: 299
Release: 2020-12-20
Genre: Business & Economics
ISBN: 1000320243

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Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.