I. BACKGROUND – SECURITIES MARKETS AND REGULATION A. The Basics 1. Two types of securities transactions: a. Primary market transactions – issuer sells securities to marketplace b. Secondary market transaction – between two outside investors 2. How we protect consumers: a. Disclosure b. Process rule c. Bans d. Education e. Intermediaries ( profit-driven incentive to ensure quality 3. What is different
Premium
Basel I‚ II and III: Did Basel regulations work? Major course assessment in Empirical Banking‚ Summer Term 2012‚ University of Constance; Lecturer: Prof. Moshe Kim By: Kerstin King Daniel Boss Enrique R. Perezyera B. Table of Contents List of Abbreviations.......................................................................................................................... III List of Tables...........................................................................................
Premium Bank Banking Fractional-reserve banking
of Ghana ensures that banks playing a part in the pursuit of its goals are well leveraged to withstand any unforeseen circumstances. One way the central bank does this is to ensure that banks have capital adequacy to a certain level through the regulation of the minimum capital requirement. The issue of the minimum capital requirement‚ its increases and implications has always been an issue of hot debates amongst economists‚ and even politicians. The minimum capital requirement is the minimum
Premium Bank Banking
ANNOUNCEMENT 2nd August‚ 2012 DIRECT ENTRY TO CHARTERED ACCOUNTANCY COURSE – AMENDMENTS TO THE CHARTERED ACCOUNTANTS REGULATIONS‚ 1988 This is to inform all concerned that with the issuance of the Notification No. 1-CA(7)/145/2012 on August 1‚ 2012‚ the provisions relating to Direct Entry Scheme for Graduates/Post Graduates‚ etc.‚ with prescribed percentage of marks‚ to the Chartered Accountancy Course have come into force from August 1‚ 2012. The said Notification is reproduced hereinbelow for
Premium Law Personal development Regulation
Plant Health Inspection Service (APHIS) This regulation interests me because I am an advocate for animal rights and against pet store animal cruelty. It will affect thousands of animals sold at retail pet stores and the consumers who will purchase these animals. Retail pet stores will be held to stricter regulations when trying to sell animals‚ therefore there will be a slight price increase passed on to the consumer due to the increased regulations. Retail pet stores are not required to be licensed
Premium Law Administrative law Regulation
Abstract Regulations require thorough assessments by the government as contradictions may be considered as a violation of consumer justice. In quintessence‚ this essay evaluates the reasons for and against regulation of sugary drinks. It initially presents the advantages of reduced health difficulties as consumption of sugary beverages decline. It then highlights the economic benefits of lessened government expenses on medical facilities and increased income experienced by businesses. The disadvantages
Premium Mental disorder Government Economics
U3081418 Government Business Relations Assessment Piece: Essay Weighting: 20% Due Date: 5pm Tuesday Week 6 Tutorial Time: Wednesday 1530-1630 Word Count: 500 Business Regulation Issues Government regulation has always been an important part of business as “regulations are essential for the proper functioning of society and the economy” (Ingram ‚ n.d). A business is designed to generate revenue for its employees‚ employers and shareholders (Chindamo‚ Pg. 4-9‚ 2011). In a bid to keep increasing
Premium United States Environmental Protection Agency Regulation Ethics
lessens competition. (d) They would allow this conglomerate merger. (e) They would not interfere with this price discrimination. 18-10 (Key Question) What types of industries‚ if any‚ should be subjected to industrial regulation? What specific problems does industrial regulation entail? Industries composed of firms with natural monopolies conditions are most likely
Premium Monopoly Sherman Antitrust Act Regulation
Uncle Sam Should Not Control What We Eat In an Article from‚ The Oakland Press‚ Alan Adler discusses the differences between implementing government regulations on fast food organizations and implementing government regulations for smoking in public. Adler believes the government often oversteps it’s bounds when it comes to regulation. One example he stated was in San Francisco‚ there is a proposed city ordinance that would ban toys in Happy Meals unless fruit and vegetables come with the Happy
Premium Regulation Nutrition Restaurant
Regulation 2 Industrial regulation is government imposed regulation of an entire industry in order to monitor prices and products provided to the public. Industrial regulation exists to avoid overpricing‚ lack of competition and the overall taking advantage of consumers. The intended impact on the markets is to promote competition and economic efficiency. Industrial regulation
Premium Occupational safety and health Competition Monopoly