Financial Assurance | by OCEG the Open Compliance and Ethics Group

Anti-Corruption & Fraud

Journal of Forensic Accounting

Anti-Corruption & Fraud, GRC Capability and Processes, GRC Planning and Organization, Information Privacy, Anti-Money Laundering, Information Security, Employment / Labor, Governance, Pre Trial Agreements (Deferred Prosecution Agreements and Non-Prosecution Agreements), Privacy Laws & Regulation, Environmental, Risk Assessment, Ethical Culture, Fraud & Corruption, Helplines/Hotlines, Investigations, Crisis Management & Response, Audit & Evaluation, Information Management, Training & Education, Education & Training, Whistleblowing and Retaliation, Workplace Information Privacy

Regulatory Intelligence by Michael Rasmussen: an Axentis Thought Leadership White Paper

Compensation, Governance, Financial Assurance, Executive Compensation

Federal Reserve, OCC, OTS, FDIC Issue Final Guidance on Incentive Compensation (June 21, 2010)

Compensation, Finance & Accounting, Governance

SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

Compensation, Finance & Accounting

FASB, Frequently Asked Questions: Financial Accounting Standards No. 123 (Revised 2004)

Finance & Accounting, Public Sector, Governance, Crisis Management & Response

Government in Financial Services: Options and Dilemmas (Ernst & Young, 2009)

Finance & Accounting, Financial Assurance

China's New Accounting Standards: A comparison with current PRC GAAP and IFRS (Deloitte, 2006)

UK, Companies Act of 2006, C.46

UK, Company Law Reform Bill - White Paper 2005 (BERR)

UK, Department for Business Innovation & Skills (BIS) Companies Act of 2006 Page

UK, Companies House, Companies Act Web Site

UK, Companies Act 2006 (Amendment) (Accounts and Reports) Regulations 2008, SI, 2008 No. 393

UK, The FSA Register

UK, Financial Services Authority Handbook Online

UK, Financial Services Authority (FSA) - Reporting Requirements

UK, London Stock Exchange

UK, Financial Services and Markets Act 2000, 2000 CHAPTER 8

Finance Act 2007

Finance & Accounting, Risk Assessment

NCUA, Risk Assessment Reporting in Corporate Credit Unions

Risk Magazine

Credit Risk Retention, Notice of Proposed Rulemaking (2011)

European Commission: Solvency II

Guidance on Due Diligence Requirements in Determining Whether Investment Securities Are Eligible for Investment, Proposed guidance with request for comment (November 2011)

Finance & Accounting

UK, Rules and Regulations of the London Stock Exchange

Publication of the Revision on the Designation of the International Financial Reporting Standards for their Voluntary Application in Japan (2010)

Japan, FSA Newsletter (English Version, Published Monthly)

Japan, Financial Services Agency (FSA) (English Version)

SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)

BIS, Group of Governors and Heads of Supervision announces higher global minimum capital standards (September 2010)

FDIC, Implementation of the New Basel Capital Accord in the U.S.

FDIC, U.S. Banking Agencies Express Support for Basel Agreement (September 2010)

FDIC, Guidance for Managing Third-Party Risk (2008)

United Kingdom, Financial Service Act 2010

FASB Accounting Standards Updates

FASB, Fair Value Measurement (Topic 820): Amendments to Achieve Common Fair Value Measurement and Disclosure Requirements in U.S. GAAP and IFRSs (May 2011)

FASB, In Focus - Accounting Standards Update No. 2011-04: Fair Value Measurement (Topic 820): Amendments to Achieve Common Fair Value Measurement and Disclosure Requirements in U.S. GAAP and IFRSs (May 2011)

SEC, Work Plan for the Consideration of Incorporating International Financial Reporting Standards into the Financial Reporting System for U.S. Issuers: Exploring a Possible Method of Incorporation (May 2011)

SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)

IMF, Making Banks Safer: Can Volcker and Vickers Do It? (2011)

SEC Adopts New Short Form Criteria to Replace Credit Ratings (July 2011)

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds, Proposed Rule (November 2011)

Finance & Accounting, Governance, Audit & Evaluation

Comptrollers Handbook, Office of the Comptroller of the Currency (OCC)

Finance & Accounting, Financial Assurance, Audit & Evaluation

SEC: Consolidated Audit Trail, Proposed Rule (June 2010)

Finance & Accounting, Governance, Executive Compensation

Corporate Governance and Executive Compensation Provisions of the Dodd-Frank Act (July 2010)

Objectives Of The Dodd-Frank Act (November 2010)

Finance & Accounting, Governance

Monetary Authority Of Singapore (MAS): Reports and Consultation Papers

Japan, Financial Instruments and Exchange Act, FSA Web Site (English Version)

Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones

The Group of Governors and Heads of Supervision reach broad agreement on Basel Committee capital and liquidity reform package (July 2010)

Finance & Accounting, GRC Planning and Organization

Future of Finance: Driving Business Value Through Performance of the Finance Function (Ernst & Young, 2010)

Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (2011)

Finance & Accounting, GRC Planning and Organization, Governance, Executive Compensation

Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-203, H.R. 4173 (111th Congress, 2010)

Finance & Accounting, Audit & Evaluation

AICPA, Recently Issued Technical Questions and Answers

SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)

Finance & Accounting, Ethical Culture

Inter-American Development Bank (IDB)

SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)

Finance & Accounting, Executive Compensation

Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)

Finance & Accounting, Risk Assessment, Audit & Evaluation

NCUA, Corporate Credit Unions (2011, Final Rule)

SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011)

GRC Capability and Processes

Nasdaq Stock Market, Inc.

SEC, NYSE Rulemaking Page

General Rules and Regulations Promulgated under the Securities Exchange Act of 1934

Nasdaq Code of Conduct for the Board of Directors

GRC Planning and Organization, Governance

EU, Consultation on Modernisation of the Directive 2004/109/EC (Transparency Requirements for Listed Companies) (May 2010)

GRC Planning and Organization

A Closer Look: The Dodd-Frank Wall Street Reform and Consumer Protection Act (PwC)

Governance, Financial Assurance

Tokyo Stock Exchange (TSE)

EU, European Commission Prospectus Directive (Rev. 2009)

Governance

Treasury/OTS, Directors' Responsibilities Guide (2008)

EU, Company law and corporate governance: Commission takes action to ensure that 12 Member States implement EU laws (2008)

Corporate Governance in Latin America (2007)

Governance, Financial Assurance, Executive Compensation

Executive Compensation Outlook (2010)

Governance, Executive Compensation

Final Guidance on Sound Incentive Compensation Policies (June 25, 2010)

Governance, Audit & Evaluation

NAIC/AICPA Working Group

Risk Assessment

Protecting Your Capital Against Risk (2007)

IFAC, Managing Risk to Enhance Stakeholder Value (2002)

Observations on Risk Management Practices during the Recent Market Turbulence (March 2008)

Risk Assessment, Financial Assurance

RiskCenter

Financial Assurance

SEC, Laws That Govern the Securities Industry

Securities Lawyer's Deskbook

SEC, Division of Investment Management

SEC, Division of Corporation Finance

AIMA, Guide to Sound Practices for European Hedge Fund Managers (2007)

UK, Financial Services Authority - MiFID Permissions and Notifications Guide

UK, Financial Services Authority - Markets in Financial Instruments Directive (MiFID)

Markets in Financial Instruments Directive (MiFID)

EU's Financial Services Action Plan (2007)

International Financial Law Review (IFLR)

Internet Law - Offshore Financial Centers and Offshore Banking

OCC, Regulatory Review Amendments (2007)

SEC, Proposed Rule - Smaller Reporting Company Regulatory Relief and Simplification (2007)

SIFMA, Securities Industry and Financial Markets Association

CFO Magazine

Competitive Financial Operations: The CFO Project

SEC, Shareholder Choice Regarding Proxy Materials; Final Rule (August 1, 2007)

SEC, Short Selling in Connection With a Public Offering, Final Rule (August 10, 2007)

Financial Week Magazine (Crain Financial Group)

SEC, Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting (Draft, July 31, 2007)

SEC, Disclosure and Accounting Practices in the Municipal Securities Market (July 2007)

Sarbanes-Oxley and the Inch-Thick Contract (2005)

SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers - Eight Years After Passage of the Gramm-Leach-Bliley Act, Key Provisions Will Now Be Implemented (2007)