United States : Financial Sector Assessment Program: detailed assessment of implementation on the IOSCO objectives and principles of securities regulation.

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The United States has large, well-developed and complex securities and derivatives markets. These provide widespread benefits not only to the U.S. economy, but globally. The crisis and recent high profile failures have provided important lessons that have significantly impacted the regulation and su...

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Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor Corporativo: International Monetary Fund. Monetary and Capital Markets Department
Formato: Electrónico eBook
Idioma:Inglés
Publicado: Washington, D.C. : International Monetary Fund, ©2015.
Colección:IMF country report ; no. 15/91.
Temas:
International Monetary Fund > United States.
International Monetary Fund.
Securities > United States.
Capital market > United States.
Financial institutions > State supervision > United States.
Financial institutions > United States > Accounting.
Financial institutions > United States > Auditing.
Marché financier > États-Unis.
Institutions financières > Contrôle de l'État > États-Unis.
Institutions financières > États-Unis > Comptabilité.
BUSINESS & ECONOMICS > Finance.
Capital market.
Economic policy.
Financial institutions > Accounting.
Financial institutions > Auditing.
Financial institutions > State supervision.
Securities.
United States > Economic policy.
États-Unis > Politique économique.
United States.
Acceso en línea:Texto completo
Tabla de Contenidos:
  • Cover; CONTENTS; GLOSSARY; A; B; C; D; E; F; G; H; I; J; L; M; N; O; P; R; S; T; U; V; X; EXECUTIVE SUMMARY; INTRODUCTION; INFORMATION AND METHODOLOGY USED FOR ASSESSMENT; INSTITUTIONAL AND MARKET STRUCTURE-OVERVIEW; A. Regulatory Structure; B. Market Structure; TABLES; 1. Key Equity Market Information; 2. Investment Company Total Net Assets by Type; 3. Institutional and Retail Ownership of Mutual Funds; 4. Number of Commodity Pool Operators and their AUM; 5. Registered Broker-Dealers; 6. SEC Registered Investment Advisers; PRECONDITIONS FOR EFFECTIVE SECURITIES REGULATION.
  • 7. Derivatives Market Intermediaries Registered with the CFTCMAIN FINDINGS; SUMMARY IMPLEMENTATION OF THE IOSCO PRINCIPLES; 8. Summary Implementation of the IOSCO Principles-Detailed Assessments; RECOMMENDED ACTION PLAN AND AUTHORITIES' RESPONSE; 9. Recommended Action Plan to Improve Implementation of the IOSCO Principles; C. Authorities' Response to the Assessment; DETAILED ASSESSMENT; 10. Detailed Assessment of Implementation of the IOSCO Principles.

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