9780470952337

Essentials of the Dodd-frank Act

by
  • ISBN13:

    9780470952337

  • ISBN10:

    0470952334

  • Edition: 1st
  • Format: Paperback
  • Copyright: 2011-03-08
  • Publisher: Wiley
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Supplemental Materials

What is included with this book?

  • The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.

Summary

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.

Author Biography

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.

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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