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Financial Regulation
Orice Williams Brown
其他書名
Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
出版DIANE Publishing, 2010-08
主題Law / General
ISBN14379325419781437932546
URLhttp://books.google.com.hk/books?id=JRRyARl4ZWwC&hl=&source=gbs_api
EBookSAMPLE
註釋The auditor was directed to assess the joint report of the SEC and the Commodity Futures Trading Commission (CFTC) on harmonization of their regulatory approaches. In Oct. 2009, CFTC and SEC issued this report in response to the Dept. of the Treasury¿s recommendation that the two agencies assess conflicts in their rules and statutes with respect to similar financial instruments. This reports objectives were to review: (1) how CFTC and SEC identified and assessed harmonization opportunities; (2) the agencies¿ progress toward implementing the joint report¿s recommendations; and (3) additional steps the agencies could take to reduce inconsistencies and overlap in their oversight. Charts and tables.