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Securities fraud : detection, prevention, and control / Louis L. Straney
Resource type: Ressourcentyp: Buch (Online)Book (Online)Language: English Series: Wiley finance ; 584 | Wiley Finance Ser ; v.584Publisher: Hoboken, N.J : John Wiley & Sons, c2011Edition: Online-AusgDescription: Online-Ressource (1 online resource (xix, 187 p.)) : illISBN:- 9781282849150
- 1282849158
- 9780470918579
- 9780470601570
- 363.25963
- 363.25/963 22
- HV6768
Contents:
Summary: The first complete, expert guide to securities and investment fraud Filled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, Securities Fraud helps you identify red flags of fraud and offers practical ways to detect and prevent it. Written by a Wall Street professional with three decades of experience spanning the most critical period of our financial markets This book challenges classic fraud theories, describing how to dismantle information silos that permit fraudsters to conceal their activities. Begins with an overview of the evolution of securities regulation and the impact of securities fraud Offers real cases and examples which illustrate recurring themes and red flags Provides the first guide of its kind to offer a complete look at the various kinds of securities fraud and investment misconduct Securities Fraud is the essential guide you need for a bird's-eye view of fraud that may be taking place even now within your own organization and with your portfolio.Summary: Intro -- Securities Fraud -- Contents -- Preface -- Acknowledgments -- Introduction -- CHAPTER 1 The Face of War -- Cost of Defeat -- Drawn and Quartered -- Art and Fog of War -- Origins -- The Best of Times-The Worst of Times -- Lords of Chaos -- Predictably Controversial -- Conventions for Prevention -- The Moderately Trained Advising the Moderately Informed -- Non Sequitur -- Flawed Logic -- Human Capital -- Ordinary People Performing Extraordinary Deeds -- Fraudster-Not the Typical Job Applicant -- Heroes and Villains -- New Notions for Old Issues -- A Collarless World -- Definitions: Securities, Investment, Fraud -- Bad Advice, Bad Luck, Bad Service-But Not Fraud -- Methodology -- What You Need to Know versus What Someone Wants You to Know -- Dismantling Silos -- Magician's Curtain -- Notes -- CHAPTER 2 Shared Interests -- Trade Secrets -- Dutch East India Company -- Shared Interests -- Merchants and Pirates -- Uniformly Non-Uniform -- Scale Reconsidered -- Transfer of Risk -- Innovation Out of Necessity -- Nation of Farmers -- NYSE -- Rags to Ritzes -- Cazique of Poyais -- Land That Never Was -- Mosquito Coast -- Statutory Foundations -- Call to Arms -- Gatekeeper-Lock-Key -- Far Out of Line with Reason -- Other Voices, Other Rooms -- Grains and Gold -- Notes -- CHAPTER 3 The Eleven -- Greater Than 10 yet Less Than 12 -- 1. The Kansas Securities Act (Blue Sky Law) -- 2. The Securities Act of 1933 -- 3. The Securities Exchange Act of 1934 -- '34 Act Provisions -- 4. The Glass-Steagall Act of 1932 -- 5. The Commodity Exchange Act of 1936 -- 6. The Investment Company Act of 1940 -- 7. The Investment Advisers Act of 1940 -- 8. The Bank Secrecy Act of 1970 -- 9. The USA Patriot Act of 2001 -- 10. The Sarbanes-Oxley Act of 2002 -- 11. Shearson/AMEX v. McMahon -- Safety Nets-A Misnomer -- Coverage Caveats -- Beyond the Rules -- Notes.PPN: PPN: 807318582Package identifier: Produktsigel: ZDB-26-MYL | ZDB-38-EBR | ZDB-30-PAD | ZDB-30-PBE | ZDB-30-PQE
Securities Fraud; Contents; Preface; Acknowledgments; Introduction; CHAPTER 1 The Face of War; CHAPTER 2 Shared Interests; CHAPTER 3 The Eleven; CHAPTER 4 Funding and Fraud; CHAPTER 5 Command and Control; CHAPTER 6 Paid to Steal; CHAPTER 7 Outside Inside; CHAPTER 8 Misunderestimated; CHAPTER 9 Days of Future Past; CHAPTER 10 The Warrior's Path; APPENDIX Frequently Used Abbreviations; About the Author; Index
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