United States; Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation

This paper presents Detailed Assessment of the United Statesâ€™s implementation of the International Organization of Securities Commissionsâ€™ Objectives and Principles of Securities Regulation. The general preconditions for effective securities regulation in the United States are present. The legal and accounting system supports the implementation of requirements and effective regulation of market participants. The legislation regarding bankruptcy, insolvency, and winding up in the jurisdiction and the professionals associated with those matters are sophisticated.

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Year of publication:	2010-05-14
Institutions:	International Monetary Fund (IMF) ; International Monetary Fund
Subject:	Financial Sector Assessment Program \| Reports on the Observance of Standards and Codes \| Securities legislation \| Securities regulations \| insider trading \| exchange act \| securities laws \| federal securities \| market participants \| financial statements \| risk management \| conflicts of interest \| registration statement \| disclosure requirements \| internal controls \| securities regulation \| capital requirements \| securities markets \| administrative proceedings \| corporation \| iosco principles \| securities regulators \| market intermediaries \| holding companies \| enforcement powers \| foreign regulators \| corporate law \| registration statements \| compliance officer \| foreign authorities \| securities transactions \| reporting requirements \| share information \| independent directors \| criminal prosecution \| law enforcement \| market manipulation \| regulatory obligations \| advisory contract \| accounting standards \| investor protection \| collective investment schemes \| material change \| assessment methodology \| regulatory regime \| regulatory authority \| beneficial ownership \| beneficial owners \| conflict of interest \| trade secrets \| foreign authority \| collective investment scheme \| beneficial owner \| holding company \| audit committee \| foreign counterparts \| market intermediary \| fiduciary duty \| regulatory authorities \| stock exchange \| administrative action \| financial instruments \| technical resources \| securities activities \| securities industry \| market integrity \| consolidation \| record keeping requirements \| board members \| shareholder rights \| institutional investors \| ethical standards \| public comment \| law enforcement authorities \| financial information \| administrative sanctions \| settlement systems \| dispute resolution \| enforcement authorities \| criminal law \| illegal profits \| reporting obligations \| conflicts of interests \| capital requirement \| securities firms \| public offerings \| financial privacy \| disciplinary history \| national association \| fiduciary duties \| state corporate law \| limited exceptions \| disclosure obligations \| civil enforcement \| investment company act \| shareholder approval \| protection of investors \| derivative actions \| law enforcement agencies \| exchange commission \| commodity exchanges \| commodity exchange \| compliance program \| public markets \| criminal sanctions \| international cooperation \| controlling shareholder \| full disclosure \| limited liability \| administrative actions \| adequate powers \| financial disclosure \| confidential information \| regulatory regimes \| injunctive relief \| limited liability company \| licensing process \| due consideration \| regulatory requirements \| securities regulator \| boards of directors \| criminal authorities \| good faith \| board of trade \| financial statement \| risk profile \| bankruptcy code \| foreign exchange transactions \| limited partnership \| shareholder interests \| internal organization \| due diligence \| reputational risks \| domestic laws \| corporations \| risk management practices \| political party \| internal policies \| supervisory responsibilities \| appearance of impropriety \| corporate finance \| consolidations \| customer accounts \| foreign jurisdiction \| securities law \| supervisory systems \| regulatory cooperation \| bank account records \| disclosure requirement \| commercial market \| commercial law \| corporate governance standards \| commercial enterprises \| specific exceptions \| internal management procedures \| foreign regulatory \| compliance officers \| ensuring compliance \| number of shareholders \| transparency requirements \| federal crimes \| money laundering \| criminal record \| suspicious activity \| financial intermediary \| common stock \| proxy statements \| initial public offerings \| legal assistance \| criminal law enforcement \| international accounting standards \| bankruptcy laws \| internal rules \| continuous disclosure \| commercial entities \| criminal justice \| administrative proceeding \| independent audit \| controlling shareholders \| confidentiality requirements \| regulatory compliance \| professional organizations \| strict liability \| stock exchanges \| asset management \| arbitration clauses \| proxy statement \| cooperation agreements \| corporate governance \| bad faith \| stock purchase \| fiduciary obligations \| customer identification \| minority shareholders \| court of appeals \| federal prosecutors \| related company \| risk management procedures \| financial transactions \| commercial markets \| assessment findings \| disciplinary proceedings \| institutional structures \| business trusts \| false information \| shareholder vote \| corporate officers \| financial regulation \| drug trafficking \| regulatory frameworks \| investigative powers \| amount of liquidity \| investment companies \| blue sky laws \| specific investments \| international standards \| chief financial officer \| public market

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Extent:	application/pdf
Series:	IMF Staff Country Reports.
Type of publication:	Book / Working Paper
Notes:	The text is part of a series IMF Staff Country Reports Number 10/125 10 pages long
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011243733