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Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme [electronic Resource]

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme [electronic Resource] PDF Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921868
Category : Governmental investigations
Languages : en
Pages : 457

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Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme [electronic Resource]

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme [electronic Resource] PDF Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921868
Category : Governmental investigations
Languages : en
Pages : 457

View

Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF Author: United States. Securities and Exchange Commission. Office of Investigations
Publisher: Government Printing Office
ISBN: 9780160839672
Category : Commercial crimes
Languages : en
Pages : 457

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Book Description
NOTE: NO FURTHER DISCOUNT FOR THIS PRINT PRODUCT--OVERSTOCK SALE --Significantly reduced list price while supplies last. Reports on the SEC's Office of the Inspector General investigation which found that the SEC received numerous substantive complaints since 1992 that raised significant red flags concerning Bernard Madoff's hedge fund operations and should have led to questions about whether Madoff was actually engaged in trading and should have led to a thorough examination and/or investigation of the possibility that Madoff was operating a Ponzi scheme. Concludes that had these efforts been made with appropriate follow-up, the SEC could have uncovered the Ponzi scheme well before Madoff confessed. Related products: Bank Secrecy Act/Anti-Money Laundering Examination Manualis available here: https: //bookstore.gpo.gov/products/sku/052-003-01481-5?ctid=498 Controlled Item -- Needs special pre-approval prior to shipment: Trade Based Money Laundering Reference Guide (English Language Edition) (Package of 5) (Controlled Item) is available here: https: //bookstore.gpo.gov/products/sku/008-001-00225-4 Controlled Item-- Needs special approval prior to shipment: Trade Based Money Laundering Reference Guide (Spanish Language Edition) (package of 5) (Controlled Item) is available here: https: //bookstore.gpo.gov/products/sku/008-001-00226-2 Options to Improve Tax Compliance and Reform Tax Expenditures, January 27, 2005is available here: https: //bookstore.gpo.gov/products/sku/052-070-07443-4 Amendments to the Federal Rules of Bankruptcy Procedure, Communication From the Chief Justice, the Supreme Court of the United States, April 28, 2004is available here: https: //bookstore.gpo.gov/products/sku/052-071-01408-0 Crimes, Scams & Fraud resources collectioncan be found here: https: //bookstore.gpo.gov/catalog/security-defense-law-enforcement/crime... "

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF Author: United States. Securities and Exchange Commission. Office of Investigations
Publisher:
ISBN:
Category : Commercial crimes
Languages : en
Pages : 480

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Essentials of Criminal Justice

Essentials of Criminal Justice PDF Author: Larry J. Siegel
Publisher: Cengage Learning
ISBN: 1337670820
Category : Education
Languages : en
Pages : 448

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Book Description
ESSENTIALS OF CRIMINAL JUSTICE, 11th Edition, provides students with thorough, objective coverage of all the latest research in the field, cutting-edge topical and case discussions, and the richest examination of career options to be found in a criminal justice text -- all in fewer than 500 pages. The text is ideal for those who want the proven reliability of Siegel and Worrall's authorship in a shorter, paperback presentation. The authors make their impeccable scholarship accessible by using integrated learning objectives, visuals, and a unique theme designed to correct students’ misperceptions and biases. Students grapple with ethical concerns faced by agents of the criminal justice system in their professional lives, and are challenged to make informed decisions about what does and doesn't work in criminal justice. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.

Oversight of the SEC Inspector General's Report on the "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme" and Improving SEC Performance

Oversight of the SEC Inspector General's Report on the Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Bank fraud
Languages : en
Pages : 72

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A Practical Guide to Financial Services

A Practical Guide to Financial Services PDF Author: Lien Luu
Publisher: Routledge
ISBN: 100051630X
Category : Business & Economics
Languages : en
Pages : 318

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Book Description
Financial services are an ever increasing part of the infrastructure of everyday life. From banking to credit, insurance to investment and mortgages to advice, we all consume financial services, and many millions globally work in the sector. Moreover, the way we consume them is changing with the growing dominance of fintech and Big Data. Yet, the part of financial services that we engage with as consumers is just the tip of a vast network of markets, institutions and regulators – and fraudsters too. Many books about financial services are designed to serve corporate finance education, focusing on capital structures, maximising shareholder value, regulatory compliance and other business-oriented topics. A Practical Guide to Financial Services: Knowledge, Opportunities and Inclusion is different: it swings the perspective towards the end-user, the customer, the essential but often overlooked participant without whom retail financial services markets would not exist. While still introducing all the key areas of financial services, it explores how the sector serves or sometimes fails to serve consumers, why consumers need protection in some areas and what form that protection takes, and how consumers can best navigate the risks and uncertainties that are inherent in financial products and services. For consumers, a greater understanding of how the financial system works is a prerequisite of ensuring that the system works for their benefit. For students of financial services – those aspiring to or those already working in the sector – understanding the consumer perspective is an essential part of becoming an effective, holistically informed and ethical member of the financial services community. A Practical Guide to Financial Services: Knowledge, Opportunities and Inclusion will equip you for both these roles. The editors and authors of A Practical Guide to Financial Services: Knowledge, Opportunities and Inclusion combine a wealth of financial services, educational and consumer-oriented practitioner experience.

Financial Services and General Government Appropriations for 2012

Financial Services and General Government Appropriations for 2012 PDF Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government
Publisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages :

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Strengthening the SEC's Vital Enforcement Responsibilities

Strengthening the SEC's Vital Enforcement Responsibilities PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 88

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The University of Chicago Legal Forum

The University of Chicago Legal Forum PDF Author:
Publisher:
ISBN:
Category : Law
Languages : en
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Recent Advances in Game Theory and Applications

Recent Advances in Game Theory and Applications PDF Author: Leon A. Petrosyan
Publisher: Birkhäuser
ISBN: 3319438387
Category : Mathematics
Languages : en
Pages : 284

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Book Description
This contributed volume contains fourteen papers based on selected presentations from the European Conference on Game Theory SING11-GTM 2015, held at Saint Petersburg State University in July 2015, and the Networking Games and Management workshop, held at the Karelian Research Centre of the Russian Academy of Sciences in Petrozvavodsk, Russia, also in July 2015. These papers cover a wide range of topics in game theory, including recent advances in areas with high potential for future work, as well as new developments on classical results. Some of these include A new approach to journal ranking using methods from social choice theory; A differential game of a duopoly in which two firms are competing for market share in an industry with network externalities; The impact of information propagation in the model of tax audits; A voting model in which the results of previous votes can affect the process of coalition formation in a decision-making body; The Selten-Szidarovsky technique for the analysis of Nash equilibria of games with an aggregative structure; Generalized nucleoli and generalized bargaining sets for games with restricted cooperation; Bayesian networks and games of deterrence; and A new look at the study of solutions for games in partition function form. The maturity and vitality of modern-day game theory are reflected in the new ideas, novel applications, and contributions of young researchers represented in this collection. It will be of interest to anyone doing theoretical research in game theory or working on one its numerous applications.