Madoff Ponzi scheme : SEC failure and why /

Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor Corporativo: United States. Securities and Exchange Commission
Otros Autores: Turner, Russell B.
Formato: Electrónico eBook
Idioma:Inglés
Publicado: New York : Nova Science Publishers, [2010]
Colección:Financial institutions and services.
Temas:
Madoff, Bernard L.
Madoff, Bernard L
Investment advisors > Corrupt practices > United States.
Ponzi schemes > United States.
Conseillers en placements > Pratiques déloyales > États-Unis.
Ponzi, Plans > États-Unis.
TRUE CRIME > Hoaxes & Deceptions.
Ponzi schemes
United States
Acceso en línea:Texto completo
Tabla de Contenidos:
  • MADOFF PONZI SCHEME:SEC FAILURE AND WHY
  • MADOFF PONZI SCHEME:SEC FAILURE AND WHY
  • CONTENTS
  • PREFACE
  • OPENING STATEMENT OF SENATOR RICHARD C. SHELBY, HEARING ON SEC INSPECTOR GENERAL'SREPORT ON MADOFF FRAUD
  • INVESTIGATION OF FAILURE OF THE SECTO UNCOVER BERNARD MADOFF'S PONZI SCHEMEâ??
  • EXECUTIVE SUMMARY
  • End Notes
  • TESTIMONY OF HARRY MARKOPOLOS, CFA, CFE, BEFORE THE U.S. HOUSE OF REPRESENTATIVESCOMMITTEE ON FINANCIAL SERVICES
  • INTRODUCTION
  • PART I. MY CONTACTS WITH THE SEC FROM 2000 â€? 2008
  • Late 1999 â€? 2000
  • 2001
  • 2002
  • 2003 -2004
  • 20052006
  • 2007
  • 2008
  • Concluding Thoughts
  • TIMELINE -SEE CHART
  • PART II. REBUILDING THE SEC
  • The Current Situation is Dire but Fixable: there is no where to go but up!
  • The SEC is a Failed Regulator: But it Canâ€?t Remain One
  • Rebuilding the SEC:
  • Dramatically Upgrading SEC Employee Qualifications & EducationalBudgets:
  • Dramatically Upgrading SEC Employee Qualifications & EducationalBudgets:
  • The SEC Needs to Adopt Industry Compensation Guidelines in Order toCompete
  • Raise the Enforcement Bar to Incorporate Good Ethics into the SECâ€?sMission Focus:Revamping the Examination Process:
  • An Alternative Course of Action: Disbanding the SEC
  • An Alternative Course of Action: Assigning the NYAG & MSD to EnforceLarge, Industry-Wide Cases and let the SEC Conduct the Routine, Paperwork Inspections
  • Recommendations for the New SEC Chair
  • TESTIMONY CONCERNING THE SECâ€?S FAILURETO IDENTIFY THE BERNARD L. MADOFF PONZISCHEME AND HOW TO IMPROVESEC PERFORMANCE
  • I. INTRODUCTION
  • II. CURRENT INITIATIVES
  • The Enforcement Division
  • Office of Compliance Inspections and ExaminationsA. Expertise, Experience and Supervision
  • The Enforcement Division
  • The Office of Compliance Inspections and Examinations
  • Agency-wide
  • B. Communication and Coordination
  • Office of Compliance Inspections and Examinations
  • The Enforcement Division
  • C. Examination and Investigative Planning and Follow-Through
  • Office of Compliance Inspections and Examinations
  • The Enforcement Division
  • D. Resources
  • The Enforcement Division
  • Office of Compliance Inspections and Examinations
  • E. Additional Initiatives to Protect InvestorsIII. RECENT ENFORCEMENT EFFORTS
  • IV. CONCLUSION
  • End Notes
  • WRITTEN TESTIMONY OF H. DAVID KOTZINSPECTOR GENERALOF THE SECURITIES AND EXCHANGE COMMISSION, BEFORE THE U.S. SENATE COMMITTEE ON BANKING, HOUSING AND URBAN AFFAIRS
  • INTRODUCTION
  • Request to Undertake Madoff Investigation
  • Commencement of Our Madoff Investigation
  • Retention of Experts
  • Testimony and Interviews Conducted in the Madoff Investigation
  • The OIGâ€?s Investigative Team
  • Issuance of Comprehensive Report of Investigation

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