Financial Industry Regulatory Authority

The subject of regulation has been a constant battle between the meat industry and government. Failure to protect the safety of meat leads to a decline in consumer confidence in that product. The rise in E. coli and salmonella outbreaks clearly shows the need for meat regulation to restore consumer confidence in the industry. There really is shit in the meat as stated by Eric Schlosser, author of Fast Food Nation. In 2011, statistics from the CDC supports Schlosser statement by reporting that 48…

QUESTION 1 Regulatory Framework of the Financial Planning Industry 1) “If a financial adviser is to give appropriate advice, they require a good knowledge of Corporate Law.” Discuss. Answer: There are a couple of aspects that require a financial planner to know about corporate law in detail. Firstly, as financial planners are running a business they have a responsibility to follow and comply with the rules and regulation under Corporations act to ensure that the firms are fulfilling its duties…

Ronald Wayne was the third co-founder of Apple and was a 10 percent shareholder of Apple Computer in 1976. He sold his shares back to the co-founders for $800 fearing any financial burdens would fall on him. Today, his shares would be worth around $80 billion. Google had to halt trading in 2012 due to financial figures being prematurely released indicating profits had dropped with a lot of concern surrounding advertising revenue. The company blamed for printing the figures prematurely is…

CRISIS i] Global crisis management by managing the actions of the regulatory / supervisory bodies of any subsector of the financial services sector; ii] use an interinstitutional approach on issues related to crisis management and resolution through the creation of a single communication channel. In case of any crisis situation, it will also prepare…

of accounting and financial management functions. This includes the handling of routine financial operations, such as negotiating contracts; making cash available for expenses like payroll; and maintaining a cash cushion for the unexpected (Brumley, 2015). The primary users would be the internal users, such as the managers, the employees, the owners; and the external users, such as the creditors, the tax authorities, the investors, the customers, and the regulatory authorities…

film this investigation was only a “bump in the road” they paid the money back and continues on their way (Gaviria & Smith, 2009). As he became more successful he moved from Wall Street to Third Avenue. He then became more involved in lobbying for regulatory changes that would have made it easier for them to trade electronically. Around this time he also employed his family to work for him and also left his former partners behind as he no longer needed them. In March 2009,…

whereas others perform functions in addition to their regulatory roles, such as providing policy advice to government departments and formulating regulation. It is not uncommon for practitioners to have to work with regulators in the course of advising clients. Outlined in this Guidance Note are some practice tips for dealing with regulators in general as well as dealing with selected regulators – the Australian Prudential Regulation Authority (APRA), the Australian Securities & Investments…

this political issue occurs when there is a circulating flow between government officials and industry employees, representatives, or lobbyists. When there is a vacancy within a federal agency to regulate the food industry, look no further than the industry’s corporate leaders. But how did this never ending cycle begin? Is it causing any damage? The revolving door phenomenon between the food industry and Monsanto evolved from the development of genetically engineered foods and has since…

Seattle is home to a few other industry giants as well, the likes of Starbucks and Amazon. Jim Casey, the father of UPS, started the American Messenger Company (AMS), which was appropriate for the kind of business that began in 1907 but has quickly evolved to the world’s largest package delivery company today. Additionally, the UPS enterprise has grown to be a supply chain management solutions and logistics provider. UPS is a publicly traded company whose industry is “courier”. UPS stock is…

As for Singapore, the local funds outperformed international funds before and after the global financial crisis, however, it shows no difference in returns during the crisis. Singapore 's economy has been ranked as the most open in the world and as the major Foreign Direct Investment (FDI) outflow financier in the world. The mean of portfolio returns…