Fraud deterrence

Results: 581



#Item
281Investment Advisers Act / Business / Registered Investment Advisor / Investment Advisor / Financial economics / Financial adviser / U.S. Securities and Exchange Commission / Money / Securities Fraud Deterrence and Investor Restitution Act / Finance / Investment / 76th United States Congress

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 28, 2014 INVESTMENT ADVISERS ACT OF 1940

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Source URL: www.sec.gov

Language: English - Date: 2014-07-28 16:17:09
282Fair Fund / United States Securities and Exchange Commission / Disgorgement / Financial services / Mutual fund scandal / Securities Fraud Deterrence and Investor Restitution Act / Financial economics / Investment / Corporate crime

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2014

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Source URL: www.sec.gov

Language: English - Date: 2014-08-01 17:28:01
283Financial regulation / Government / Securities Exchange Act / Securities Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / United States / Securities Fraud Deterrence and Investor Restitution Act / Mutual fund scandal / United States securities law / United States Securities and Exchange Commission / 73rd United States Congress

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 8, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2014-08-08 09:19:00
284Committee of Sponsoring Organizations of the Treadway Commission / Internal control / Internal audit / Institute of Internal Auditors / Audit / Control environment / Management accounting / Institute of Management Accountants / Fraud deterrence / Auditing / Accountancy / Business

The New Internal Control—Integrated Framework Submitted by Myra L Byrd, Public Service Assistant Carl Vinson Institute of Government University of Georgia The new Internal Control—Integrated Framework (IC-IF) was re

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Source URL: georgiafmc.org

Language: English - Date: 2014-03-26 12:15:04
285SEC filings / Corporate crime / U.S. Securities and Exchange Commission / Financial regulation / Securities Exchange Act / Government / Financial economics / World Group Securities / Securities Fraud Deterrence and Investor Restitution Act / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 8, 2014

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Source URL: www.sec.gov

Language: English - Date: 2014-08-08 06:21:44
286Risk / Internal audit / Institute of Internal Auditors / Medicaid / Audit / Information technology audit / Medicare / Fraud deterrence / Internal control / Auditing / Accountancy / Business

STATE OF NORTH CAROLINA PERFORMANCE AUDIT DEPARTMENT OF HEALTH AND HUMAN SERVICES DIVISION OF MEDICAL ASSISTANCE MEDICAID PROVIDER ELIGIBILITY

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Source URL: www.ncauditor.net

Language: English - Date: 2014-08-14 13:30:57
287Business / Financial adviser / U.S. Securities and Exchange Commission / Investment Adviser Association / Registered Investment Advisor / Dodd–Frank Wall Street Reform and Consumer Protection Act / Financial regulation / Securities Fraud Deterrence and Investor Restitution Act / Investment Advisers Act / Financial economics / Finance / Investment

Recommendation of the Investor as Purchaser Subcommittee

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Source URL: www.sec.gov

Language: English - Date: 2013-11-07 15:48:29
288Disgorgement / Securities Fraud Deterrence and Investor Restitution Act / United States Securities and Exchange Commission / Corporate crime / Fair Fund

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2009-05-06 11:28:06
289Financial system / Eliot Spitzer / U.S. Securities and Exchange Commission / Securities research / Securities regulation in the United States / Securities Act / Financial Industry Regulatory Authority / Securities Exchange Act / Securities Fraud Deterrence and Investor Restitution Act / United States securities law / Financial economics / Finance

Page 1 2 of 2 DOCUMENTS Copyright (c[removed]Columbia Law School Columbia Business Law Review 2006

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Source URL: web.law.columbia.edu

Language: English - Date: 2012-10-09 12:52:25
290Finance / Investment Advisers Act / Financial adviser / Employee Retirement Income Security Act / Futures contract / Investment Company Act / Financial services / Securities Fraud Deterrence and Investor Restitution Act / Financial economics / 76th United States Congress / Investment

REGULATED PERSON ATTESTATION The undersigned, in the name and on behalf of ____________________________ (“User”), represents, warrants and covenants to APX, Inc. (“Administrator”), as administrator of the Michiga

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Source URL: www.mirecs.org

Language: English - Date: 2014-02-19 16:16:52
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