INDICE: Foreword. Preface. Acknowledgments. Chapter 1 Introduction to the Dodd-Frank Act. Chapter 2 History and Background. Financial Instability. Scope.Architects of the Dodd-Frank Act. The Plan and Proposal. Time Line. Key Goalsof the Act. Summary. Notes. Chapter 3 Key Titles and Sections. Title I: Financial Stability. Title II: Orderly Liquidation Authority. Title III: Transfer of Powers to the Office of Comptroller of the Currency, Corporation, and Board of Governors. Title IV: Regulation of Advisers to Hedge Fund and Others. TitleV: Insurance. Title VI: Improvements to the Regulation of Bank and Savings Association Holding Companies and Depository Institutions. Title VII: Wall Street Transparency and Accountability. Title VIII: Payment, Clearing and Settlement Supervision. Title IX: Investor Protections and Improvements to the Regulation of Securities. Title X: Bureau of Consumer Financial Protection. Title XI: Federal Reserve System Provisions. Title XII: Improving Access to Mainstream Financial Institutions. Title XIII: Pay It Back Act. Title XIV: Mortgage Reformand Anti-Predatory Lending Act. Title XV: Miscellaneous Provisions. Title XVI: Section 1256 Contracts. Summary. Chapter 4 Institutions Impacted. Foreign Banking Organizations. Derivatives. Insurance companies. Consumers and Mortgage Banking. Brokers-Dealers. Banks, Thrifts, and Bank Holding Companies. Summary.Note. Chapter 5 Dodd-Frank Act Rulemakings. SEC and Rulemaking. Corporate Governance. Investment Advisers. Securities Lending. Arbitration. Swaps. Credit Rating Agencies. Securitization. Other Legislation. Summary. Chapter 6 Role of New and Existing Agencies. Financial Stability Oversight Council. Office of Financial Research. Bureau of Consumer Financial Protection. Bank Holding Companies. Non-bank Financial Companies. Depository institutions. Office of Thrift Supervision. Federal Deposit Insurance Corporation. Office of Comptroller of the Currency. Orderly Liquidation Authority. Securities Investor Protection Corporation. Securities and Exchange Commission. Federal Reserve Board. Commodity Futures Trading Commission. Government Accountability Office. Summary. Notes. Chapter 7 Global Impact and Implications. Banking Industry. Investment Industry. Summary. Note. Chapter 8 Advice for Specific Professions. Executive management. Municipal Securities Markets. Brokers-Dealers. Investment advisers. Insurers. Summary. Chapter 9 Relationship with SOX and the Basel Accords. The Dodd-Frank Act and SOX. The Dodd-Frank Act and the Basel Accords. Summary. AppendixA Contents of the Dodd-Frank Act. Appendix B Effective Dates and Deadlines. Glossary of Key Acronyms. About SOX Institute and the GRC Group. Index.
- ISBN: 978-0-470-95233-7
- Editorial: John Wiley & Sons
- Encuadernacion: Rústica
- Páginas: 288
- Fecha Publicación: 16/02/2011
- Nº Volúmenes: 1
- Idioma: Inglés