Financial Regulation and Compliance - Kotz H. David

Скачать книгу

align="left">

25

See ibid.

26

For further background on the CFTC's Division of Clearing and Intermediary Oversight, see http://www.cftc.gov/About/CFTCOrganization/index.htm.

27

For further background on the CFTC's Division of Enforcement, see http://www.cftc.gov/LawRegulation/Enforcement/index.htm.

28

See 7 U.S.C. section 6d(a).

29

See CFTC Regulation 170.15.

30

For further background on FINRA, see www.nfa.futures.org/.

31

See http://www.nfa.futures.org/NFA-faqs/compliance-faqs/examinations/index.HTML.

32

See ibid.

33

See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/how-NFA-fights-fraud-and-abuse.HTML.

34

See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/customer-protection-initiatives.HTML.

35

See ibid.

36

Mediation is a settlement process in which the parties work together with a mediator to find a mutually agreeable solution. For further information on the NFA's arbitration programs, see http://www.nfa.futures.org/%5C/NFA-about-nfa/who-we-are/dispute-resolution.HTML.

37

For further background on the DOJ, see the website at www.justice.gov/.

38

http://www.justice.gov/about/.

39

See http://www.justice.gov/criminal/fraud/fcpa/guidance/guide.pdf.

Скачать книгу