"Determine methods for managing legal risk arising from regulatory compliance issues" Essays and Research Papers

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    Regulatory Capture Theory

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    REGULATORY CAPTURE THEORY Capture theory assumes‚ firstly‚ that all members of society are economically rational. Therefore‚ each individual will pursue his or her self-interest to the point where the private marginal benefit from lobbying regulators just equals the private marginal cost. Regulation has the potential to redistribute the wealth. Therefore‚ people lobby for regulations that increase their wealth. Second‚ the capture view assumes‚ as with public-interest theory‚ that the government

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    Foundations of Business Law Assignment 1 Levi Manuel 100102979 Question 1 What legal issues does this situation raise and what are the possible legal consequences? First legal issue- Was there a duty of care? In this case there a number of legal issues and the first and foremost of these issues is was there a duty of care? Duty of care‚ as a general rule‚ is that the defendant who owes a duty of care to all persons who it is reasonably foreseeable will suffer loss or damage as a result

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    Define regulatory arbitrage. Briefly discuss the new capital buffer requirements proposed under Basel 3. Regulatory Arbitrage This is a practice whereby firms capitalize on loopholes in regulatory systems in order to circumvent unfavourable/unprofitable regulation. Arbitrage opportunities may be accomplished by a variety of tactics‚ including restructuring transactions‚ financial engineering and geographic relocation. For example‚ a company may relocate its headquarters to a country with lower tax rules and favourable regulatory policies to

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    Determine two to three

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    Determine two to three (2-3) methods of using stocks and options to create a risk-free hedge portfolio I found the research of this question to be extremely interesting. The simplest form of purchasing securities in order to reduce portfolio risk is hedging. These securities are intended to have negative correlation to the remainder of our portfolio so that it can help offset any other potential losses in our portfolio. We can hedge by buying a put option. We can buy stock with one put option with

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    Proceedings of the Sixth International Conference on Machine Learning and Cybernetics‚ Hong Kong‚ 19-22 August 2007 A MONEY LAUNDERING RISK EVALUATION METHOD BASED ON DECISION TREE SU-NAN WANG1‚ 2‚ JIAN-GANG YANG1 1 College of Computer Science and Engineering‚ Zhejiang University‚ Hangzhou 310027‚ China 2 Shanghai Pudong Development Bank‚ Shanghai 200002‚ China E-MAIL: wangsn@spdb.com.cn‚ yangjg@cs.zju.edu.cn Abstract: Money laundering (ML) involves moving illicit funds‚ which may be

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    The Professional Regulatory Board of Architecture (PRBoA) URL/ website: www.architectureboard.ph Republic of the Philippines Department of Labor & Employment Professional Regulation Commission Manila ________________________________________________________________________________________________________________ The Professional Regulatory Board of Architecture (PRBoA) Email Address: prboa.prc.gov.ph@gmail.com URL/ website: www.architectureboard.ph or c/o Telefax: 02.286

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    Business Risk

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    question needs the explanation of inter-relation between business risk and audit risk‚ which is automatically‚ must include the risk analysis as an approach to auditing to overcome with the concern of handling these risks. Before entering deeper to the business risk and how an auditor can manage and be aware of these risks‚ lets define and describe some of the terms which is related to this question as follows:- Business risk is generally defined as the threat posed by an event or action to

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    Legal System

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    The Legal System Imagine you are the director of health information services for a medium-sized health care facility. Like many of your peers‚ you have contracted with an outside copying service to handle all requests for release of patient health information at your facility. You have learned that a lobbying organization for trial attorneys in your state is promoting legislation to place a cap on photocopying costs‚ which is significantly below the actual costs incurred as part of the contract

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    Advances in technology has brought many benefits but also problems. The use of new technology creates moral and ethical problems and conflicting attitudes in society. The complexity of the issues and the pace with which technology changes mean that legislators have difficulty making laws that can keep in control of these changes. Technology affects all areas of society‚ forcing changes in a range of laws. Advances in computer technology have resulted in a new brand of cyber crimes such as computer

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    anything in life being able to adapt to and comply with any given situation is certainly a skill to live by. Compliance is publicly acting in accord with social pressure‚ rules and regulations even if one may privately disagree with what they’re being told to do. This term best describes the behavior of a person who is motivated to gain reward or avoid punishment. On the level of compliance‚ many experimenters see little difference between animals and humans‚ because all organisms respond to rewards

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