"Preventative detective and corrective measures to manage regulatory risks" Essays and Research Papers

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    Regulatory Bodies

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    The major regulatory bodies include: Internal Revenue Service‚ Securities and Exchange Commission‚ Financial Accounting foundation‚ Government Accounting Standards Board‚ Federal Accounting Standards Advisory‚ International Accounting Standards Board‚ Public Company Accounting Oversight Board‚ and the American Institute of Certified Public Accountants. The major regulatory body Internal Revenue Service‚ also known as the IRS‚ has a function of enforcing all the internal revenue laws. Each taxpayer

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    Regulatory Competition

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    REGULATORY COMPETITION AND INTERNATIONAL HARMONISATION Konstantine Gatsios* and Peter Holmes** * Athens University of Economics and Business‚ 76 Patission St‚ Athens 104-34‚ Greece; and CEPR. ** School of European Studies‚ University of Sussex‚ Brighton‚ BN1 9QN‚ UK. Tel : (01273) 678832‚ email p.holmes@sussex.ac.uk Abstract In recent years more attention has been paid to the extent to which various form of domestic regulatory policies could‚ deliberately or inadvertently‚ constitute

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    What are the main risks faced by banks and how does a bank attempt to manage these risks? A Bank is a financial intermediary that acts as an economic firm producing goods and services. With this view in mind it’s easy to see that a bank exists to make a profit. In order for a bank to be successful and make a profit‚ it has to take risk. A bank that is averse to risk will be a stagnant institution unable to adequately serve its customers effectively and produce a profit. However‚ a banking institution

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    Assessment Task 3 BSBRSK501B Manage risk Evaluation of risk management plan Plan should include: a.  Banking risk  –theft of cash left on premises –initially rated as moderate. i. Insurance on ‘cash on premises’. ii.Open an account with closest bank. iii.Policy and procedure requirement to bank daily.  b. Manager’s travel risk  –physical injury –initially rated as extreme. i.Management meetings to finish 3:00pm. ii.Install teleconferencing. iii.Management training shift to morning half day sessions

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    The Financial Detective

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    This article explains that companies with certain industries tend to have similar financial make-ups. This is because companies within an industry face many of the same economic forces. Some of those economic forces would include government regulation‚ consumer sentiment towards the product or service‚ consumer demographics‚ and international appeal and competition. However‚ when you take a deeper look at the companies within the industry you will see differences in their financial statements because

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    Regulatory framework

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    Introduction Regulatory framework is a system of regulations and the means used to enforce them. They are usually established by the government to regulate the specific activities. These rules have a structured way of being supported and enclosed in a safe place. Most of them are recognized by the law. A conceptual framework is important to the understanding of the many principles and concepts that underpin International Financial Reporting Standards (IFRS) and is an often-neglected part of candidates’

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    Regulatory Agencies

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    Regulatory bodies affect financial decision making Starbucks operates in over 50 countries worldwide. With this Starbucks must look at all types of regulatory bodies for financial reasons‚ making sure their guidelines are met both at home and abroad. Starbucks has gone out of its way to rely on and help out their farmers abroad. From Tokyo to Seattle the Starbucks brand is one that is symbolic of a successful business. The success of Starbucks has been built on international partnerships as

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    Regulatory Issues

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    ASSIGNMENT Module: Regulatory issues in banking and finance The biggest chunk that about 25% of the $8.5trln overall is held by foreign governments. China tops the list with $1155 billion‚ followed by Japan $885 billion‚ United Kingdom $278 billion and oil exporting countries $255 billion. Other big holders of Treasury debt involve local and state governments‚ individual investors which are brokers‚ mutual funds‚ public and private pension funds‚ holders

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    Economic and Regulatory Capital in Banking: What is the Difference?∗ Abel Elizalde Rafael Repullo CEMFI and UPNA CEMFI and CEPR July 2006 Abstract We analyze the determinants of regulatory capital (the minimum required by regulation)‚ economic capital (that chosen by shareholders without regulation)‚ and actual capital (that chosen with regulation) in the single risk factor model of Basel II. We show that variables that only affect economic capital‚ such as the intermediation margin

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    The Investment Detective

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    ranking obtained by simple inspection of the cash flows? 4. What kinds of real investment projects have cash flows similar to those in Exhibit 1? 1. Although we can rank the projects by simply inspecting the cash flows‚ it is still not a good measure to rank them. The Ranking by simply

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