SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010) resource National Regulations OCEG Reviewed
Summary: The Securities and Exchange Commission (“Commission” or “SEC”) is adopting new Rule 15c3-5 under the Securities Exchange Act of 1934 (“Exchange Act”).
Caribbean Development Bank (CDB) resource Organizations & Associations OCEG Reviewed
Mission and Summary: CDB intends to be the leading catalyst for development resources into the Region, working in an efficient, responsive and collaborative manner with our BMCs and other development partners, towards the systematic reduction of poverty in their countries through social and economic development.
Continuous Risk and Control Assurance: The Next Evolution of Internal Audit resource White Papers Member contribution
OECD, Economic Survey of the European Union 2009 resource Research / Studies OCEG Reviewed
An Economic Survey is published every 1½-2 years for each OECD country. The OECD assessment and recommendations on the main economic challenges faced by the European Union are available by clicking on each chapter heading.
The next Economic Survey of the European Union will be prepared for 2011.
EU, European Commission Prospectus Directive (Rev. 2009) resource Agency Web Sites OCEG Reviewed
EC Press Release, 24 September 2009: The Prospectus Directive lays down the rules governing the prospectus that has to be made available to the public in case a public offer or admission to trading of transferable securities in a regulated market takes place in the EU.
Committee of European Banking Supervisors (CEBS) resource Organizations & Associations OCEG Reviewed
Introduction: The Committee of European Banking Supervisors (CEBS) gives advice to the European Commission on policy and regulatory issues related to banking supervision.
An EU Framework for Cross-border Crisis Management in the Banking Sector, Commission Staff Working Document SEC (2009) 1407 resource Standards and Guidelines OCEG Reviewed
From the Commission of European Communities.
An EU Framework for Cross-Border Crisis Management in the Banking Sector, COM(2009) 561/4 resource Standards and Guidelines OCEG Reviewed
From the Commission of the European Communities.
SEC Proposes Consolidated Audit Trail (July 2010) resource Articles
The Harvard Law School Forum on Corporate Governance and Financial Regulation, July 4, 2010. Annette L. Nazareth.
SEC: Consolidated Audit Trail, Proposed Rule (June 2010) resource National Regulations OCEG Reviewed
75 Federal Register 32556 (June 8, 2010); 17 CFR Part 242
