Catalogue


Essentials of the Dodd-Frank Act [electronic resource] /
Sanjay Anand.
imprint
Hoboken, New Jersey : Wiley, [2011], ©2011.
description
xvii, 185 p. ; 23 cm.
ISBN
9780470952337 (pbk.)
format(s)
Book
More Details
series title
imprint
Hoboken, New Jersey : Wiley, [2011], ©2011.
isbn
9780470952337 (pbk.)
restrictions
Licensed for access by U. of T. users.
general note
Includes index.
abstract
"This book will provide an executive summary of the newly passed Financial Regulations Act. It will examine the most important sections of the Act and how it impacts the financial industry and shows what executives must know and do in order to comply with the Act"--
catalogue key
8328658
A Look Inside
About the Author
Author Affiliation
Sanjay Anand, CSOX, CGRC, is a recognized expert in governance, risk management, compliance and controls, and has served as chairperson of the SOX and GRC Institutes, and as Steering Committee member of the Open Compliance and Ethics Group's Red Book. He has been accorded over a dozen honorary industry credentials and certifications including a CDE (Certificate in Director Education) from NACD Institute and a CFE (Certified Fraud Examiner) from ACFE. For more information, visit his site at www.sanjayanand.com.
Summaries
Main Description
An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.
Main Description
Need a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game.
Main Description
This book will provide an executive summary of the newly passed Financial Regulations Act. It will examine the most important sections of the Act and how it impacts the financial industry and shows what executives must know and do in order to comply with the Act.
Back Cover Copy
"It is incumbent on all business owners and managers, and indeed all consumers, to understand the Dodd-Frank Act . . . . Who better to provide insights on Dodd-Frank than Sanjay Anand, who was among the first responders of consummate business leaders to explain the Sarbanes-Oxley Act. You have chosen wisely and I know you will greatly benefit from reading this book." -From the Foreword by Michael P. Cangemi, CPA, former president of FEI "This book is about as authoritative as a book can get on a moving target like the Dodd-Frank Act while still being written in plain English, so that all those impacted by the legislation can understand what has been enacted, and what is yet to come. It provides the necessary foundational steps in preparing for the regulations regardless of how it may be modified. It also connects the dots to related regulations-SOX and Basel III. Kudos to Sanjay Anand for writing it and making his knowledge and expertise available to all."-Anthony Tarantino, author of Essentials of Risk Management in Finance Get up to speed quickly on the new Financial Regulations Act Need a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game. Take a look inside for just-the-facts coverage of: What has changed within the regulatory environment The events leading up to the Dodd-Frank Act, the key players involved, and a review of the legislation's timeline Effective dates and rule promulgation deadlines you'll need to have handy Legislation and rulemaking that could impact your organization such as the Truth in Lending Act, the Fair Credit Reporting Act, and the Investment Advisers Act The global impact and implications of the Act for the banking and investment industries Offering a timely compliance perspective of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, Essentials of the Dodd-Frank Act examines the most important sections of the Act, how it impacts the financial industry, and what you must know and do in order to comply with the Act. The Financial Crisis-History and Background Key Titles and Sections of the Legislation Definitions and Implementation Guidance Related Regulations and Rulemakings Role of New and Existing Agencies
Bowker Data Service Summary
'Essentials of the Dodd-Frank Act' provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the act.
Long Description
"It is incumbent on all business owners and managers, and indeed all consumers, to understand the Dodd-Frank Act . . . . Who better to provide insights on Dodd-Frank than Sanjay Anand, who was among the first responders of consummate business leaders to explain the Sarbanes-Oxley Act. You have chosen wisely and I know you will greatly benefit from reading this book." -From the Foreword by Michael P. Cangemi, CPA, former president of FEI "This book is about as authoritative as a book can get on a moving target like the Dodd-Frank Act while still being written in plain English, so that all those impacted by the legislation can understand what has been enacted, and what is yet to come. It provides the necessary foundational steps in preparing for the regulations regardless of how it may be modified. It also connects the dots to related regulations-SOX and Basel III. Kudos to Sanjay Anand for writing it and making his knowledge and expertise available to all."-Anthony Tarantino, author of Essentials of Risk Management in Finance Get up to speed quickly on the new Financial Regulations Act Need a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game. Take a look inside for just-the-facts coverage of: What has changed within the regulatory environment The events leading up to the Dodd-Frank Act, the key players involved, and a review of the legislations timeline Effective dates and rule promulgation deadlines youll need to have handy Legislation and rulemaking that could impact your organization such as the Truth in Lending Act, the Fair Credit Reporting Act, and the Investment Advisers Act The global impact and implications of the Act for the banking and investment industries Offering a timely compliance perspective of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, Essentials of the Dodd-Frank Act examines the most important sections of the Act, how it impacts the financial industry, and what you must know and do in order to comply with the Act.
Back Cover Copy
"It is incumbent on all business owners and managers, and indeed all consumers, to understand the Dodd-Frank Act . . . . Who better to provide insights on Dodd-Frank than Sanjay Anand, who was among the first responders of consummate business leaders to explain the Sarbanes-Oxley Act. You have chosen wisely and I know you will greatly benefit from reading this book." -From the Foreword by Michael P. Cangemi, CPA, former president of FEI "This book is about as authoritative as a book can get on a moving target like the Dodd-Frank Act while still being written in plain English, so that all those impacted by the legislation can understand what has been enacted, and what is yet to come. It provides the necessary foundational steps in preparing for the regulations regardless of how it may be modified. It also connects the dots to related regulations-SOX and Basel III. Kudos to Sanjay Anand for writing it and making his knowledge and expertise available to all."-Anthony Tarantino, author of Essentials of Risk Management in Finance Get up to speed quickly on the new Financial Regulations Act Need a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game. Take a look inside for just-the-facts coverage of: What has changed within the regulatory environment The events leading up to the Dodd-Frank Act, the key players involved, and a review of the legislation's timeline Effective dates and rule promulgation deadlines you'll need to have handy Legislation and rulemaking that could impact your organization such as the Truth in Lending Act, the Fair Credit Reporting Act, and the Investment Advisers Act The global impact and implications of the Act for the banking and investment industries Offering a timely compliance perspective of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, Essentials of the Dodd-Frank Act examines the most important sections of the Act, how it impacts the financial industry, and what you must know and do in order to comply with the Act.
Table of Contents
Forewordp. xi
Prefacep. xv
Acknowledgmentsp. xvii
Introduction to the Dodd-Frank Actp. 1
History and Backgroundp. 6
Financial Instabilityp. 7
Scopep. 8
Architects of the Dodd-Frank Actp. 9
The Plan and Proposalp. 10
Timelinep. 11
Key Goals of the Actp. 12
Summaryp. 13
Notesp. 14
Key Titles and Sectionsp. 15
Financial Stabilityp. 16
Orderly Liquidation Authorityp. 26
Transfer of Powers to the Office of Comptroller of the Currency, Corporation, and Board of Governorsp. 39
Regulation of Advisers to Hedge Fund and Othersp. 45
Insurancep. 51
Improvements to the Regulation of Bank and Savings Association Holding Companies and Depository Institutionsp. 59
Wall Street Transparency and Accountabilityp. 63
Payment, Clearing, and Settlement Supervisionp. 67
Investor Protections and Improvements to the Regulation of Securitiesp. 68
Bureau of Consumer Financial Protectionp. 71
Federal Reserve System Provisionsp. 74
Improving Access to Mainstream Financial Institutionsp. 76
Pay It Back Actp. 77
Mortgage Reform and Anti-Predatory Lending Actp. 78
Miscellaneous Provisionsp. 80
Section 1256 Contractsp. 81
Summaryp. 81
Institutions Impactedp. 84
Foreign Banking Organizationsp. 85
Derivativesp. 86
Insurance Companiesp. 88
Consumers and Mortgage Bankingp. 88
Broker-Dealersp. 89
Banks, Thrifts, and Bank Holding Companiesp. 89
Summaryp. 91
Notesp. 92
Dodd-Frank Act Rulemakingp. 93
SEC and Rulemakingp. 94
Corporate Governancep. 96
Investment Advisersp. 96
Securities Lendingp. 97
Arbitrationp. 97
Swapsp. 97
Credit Rating Agenciesp. 97
Securitizationp. 98
Other Legislationp. 98
Summaryp. 103
Role of New and Existing Agenciesp. 104
Financial Stability Oversight Councilp. 106
Office of Financial Researchp. 106
Bureau of Consumer Financial Protectionp. 107
Bank Holding Companiesp. 107
Nonbank Financial Companiesp. 108
Depository Institutionsp. 108
Office of Thrift Supervisionp. 109
Federal Deposit Insurance Corporationp. 109
Office of Comptroller of the Currencyp. 110
Orderly Liquidation Authorityp. 110
Securities Investor Protection Corporationp. 111
Securities and Exchange Commissionp. 111
Federal Reserve Boardp. 112
Commodity Futures Trading Commissionp. 112
Government Accountability Officep. 114
Summaryp. 115
Notesp. 116
Global Impact and Implicationsp. 117
Banking Industryp. 118
Investment Industryp. 124
Summaryp. 127
Notep. 127
Advice for Specific Professionsp. 128
Executive Managementp. 128
Municipal Securities Marketsp. 132
Broker-Dealersp. 133
Investment Advisersp. 134
Insurersp. 136
Summaryp. 137
Notep. 138
Relationship with SOX and the Base Accordsp. 139
The Dodd-Frank Act and SOXp. 139
The Dodd-Frank Act and the Basel Accordsp. 142
Summaryp. 143
Contents of the Dodd-Frank Actp. 145
Effective Dates and Deadlinesp. 172
Glossary of Key Acronymsp. 175
About SOX Institute and the GRC Groupp. 181
Indexp. 183
Table of Contents provided by Ingram. All Rights Reserved.

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