Financial Assurance

Order by:Group by:

Anti-Corruption & Fraud

Journal of Forensic Accounting

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

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

Finance & Accounting, Financial Services and Banking, Governance, Audit & Evaluation

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

Finance & Accounting, Audit & Evaluation, Financial Assurance

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

Insurance, Governance, Audit & Evaluation

NAIC/AICPA Working Group

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, Financial Services and Banking, Audit & Evaluation, Risk Assessment

NCUA, Corporate Credit Unions (2011, Final Rule)

Finance & Accounting, Audit & Evaluation, Risk Assessment

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

Audit & Evaluation

European Union - Reform of the audit market: Proposal for a regulation on the quality of audits of public-interest entities and proposal for a directive to enhance the single market for statutory audits (November 2011)

Compensation, Financial Services and Banking, Governance, Executive Compensation, Financial Assurance

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)

Crisis Management & Response, Finance & Accounting, Public Sector, Financial Services and Banking, Governance

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

Crisis Management & Response, Financial Assurance

FFIEC, Business Continuity Planning (2008)

Crisis Management & Response, Financial Services and Banking, Financial Assurance

An EU Framework for Cross-border Crisis Management in the Banking Sector, Commission Staff Working Document SEC (2009) 1407

Finance & Accounting, Ethical Culture

Inter-American Development Bank (IDB)
SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)

Executive Compensation

Item 402 of Regulation S-K - Executive Compensation (February 12, 2007)
IRS Notice 2007-49, Covered Employees Under Section 162(m)(3) (June 18, 2007)
SEC, Executive Pay Finder
SEC, Regulation S-X, Title 17 CFR Part 210
SEC - Final Rule: Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
Speech by SEC Chairman: Chairman's Opening Statement; Proposed Revisions to the Executive Compensation and Related Party Disclosure Rules (January 17, 2006)
FASB, Exposure Documents
SEC, Division of Corporation Finance: Frequently Requested Materials

Governance, Executive Compensation, Financial Assurance

Executive Compensation Outlook (2010)

Financial Services and Banking, Governance, Executive Compensation

Final Guidance on Sound Incentive Compensation Policies (June 25, 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, Executive Compensation, GRC Planning and Organization

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

Finance & Accounting, Financial Services and Banking, Executive Compensation

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

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, Financial Services and Banking, Risk Assessment

NCUA, Risk Assessment Reporting in Corporate Credit Unions

Finance & Accounting, Risk Assessment

Risk Magazine
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
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)
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

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

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, Financial Services and Banking

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)

Finance & Accounting, Financial Services and Banking, Governance

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

Finance & Accounting, Insurance, Risk Assessment

European Commission: Solvency II

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)
SEC, Fed Finalize Bank-Broker Rules (2007)
CFO Project, The
Are You Prepared to Release Hitherto Undisclosed Information? (2008)

Governance, Financial Assurance

Tokyo Stock Exchange (TSE)