ドッド・フランク法の下での新たな規制の現実<br>Managing to the New Regulatory Reality : Doing Business under the Dodd-Frank Act (Wiley Finance)

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ドッド・フランク法の下での新たな規制の現実
Managing to the New Regulatory Reality : Doing Business under the Dodd-Frank Act (Wiley Finance)

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  • 製本 Hardcover:ハードカバー版/ページ数 354 p.
  • 言語 ENG
  • 商品コード 9780470874394
  • DDC分類 332.10681

Full Description


How to manage and profit from the new financial regulatory reality Now, more than ever, navigating the new financial regulations is paramount for the survival of many large institutions. Managing to the New Regulatory Reality: Doing Business Under the Dodd-Frank Act provides the most important, need-to-know lessons for private sector management, boards of directors, policymakers, and even regulators, shedding light on the movement from crisis to panic, regulatory reform to winning under continuing financial regulatory uncertainty. * Reviews the causes of 2008's financial crisis, and assesses its impact on multiple stakeholders * Describes and analyzes the impact of the immediate U.S. and G20 policy and regulatory reactions on financial institutions that the crisis response triggered * Explains the legislative policies, and examines how institutions and the financial services industry can make these new policies and regulations work for them All financial institutions, but especially large companies, will have to aggressively manage to the new regulatory reality.Managing to the New Regulatory Reality is the must-have survival guide to sustaining profitability despite all the new red tape.

Table of Contents

Foreword                                           xiii
List of Acronyms xv
Preface xvii
PART ONE Understanding the Immediate 1 (36)
Political Reactions
Chapter 1 Immediate U.S. Reaction: The 3 (14)
Emergency Economic Stabilization Act of 2008
All Roads Ultimately Lead to Congress 3 (3)
How a Crisis Bill Becomes an Emergency Law 6 (7)
EESA's Major Provisions 13 (2)
Conclusion 15 (2)
Chapter 2 Rise of the G20---A Global Call 17 (8)
to Action
A New International Financial Order 17 (3)
Toward a Balanced Approach 20 (2)
Conclusions 22 (3)
Chapter 3 The Beginnings of the New 25 (12)
Regulatory Reality
Democracy Can Act Swiftly in a Crisis 26 (1)
Problems at a Small Minority of Firms 26 (2)
Create Lasting Industry Problems
Populist Anger Drives Unintended 28 (2)
Consequences
When Governments Intervene to Protect 30 (1)
Taxpayers, Strings Are Attached
Crises Have Long Political and Regulatory 30 (1)
Tails
Safety Valves Don't Always Work as 31 (2)
Expected
International Crises Command Global 33 (1)
Responses
Conclusions 34 (3)
PART TWO Understanding U.S. and G20 37 (84)
Regulatory Reforms
Chapter 4 The U.S. Legislative Process 41 (28)
Administration Proposal 42 (1)
House Consideration 42 (8)
Senate Consideration 50 (8)
Conference Consideration 58 (8)
Conclusions 66 (3)
Chapter 5 The Dodd-Frank Act of 2010 69 (42)
New Regulatory Architecture 70 (18)
New Regulatory Standards 88 (8)
New Operating Restrictions 96 (9)
Higher Regulatory Costs 105 (2)
Conclusions 107 (4)
Chapter 6 Beyond the United 111 (10)
States---Current G20 Efforts
G20 Agenda Going Forward 112 (4)
IMF Review of U.S. Financial Sector 116 (1)
Assessment Program, 2010
The Seoul Action Plan 117 (2)
Conclusions 119 (2)
PART THREE Preparedness: 10 Lessons for 121 (190)
Winning in the New Regulatory Reality
Chapter 7 Set the Right Leadership Tone at 127 (20)
the Top
Background 127 (1)
Corporate Leadership 128 (5)
Leadership in Society 133 (3)
Leadership on Public Policy 136 (8)
Implications 144 (3)
Chapter 8 Tell a Good Story 147 (16)
Background 148 (1)
What Individual Firms Can Do 149 (6)
What the Industry Must Do 155 (6)
Implications 161 (2)
Chapter 9 Be Politically Adept, Not Tone 163 (18)
Deat
Background 164 (1)
New Legislative Mandates for Executive 164 (10)
Compensation Limits
Consumer Protection 174 (5)
Implications 179 (2)
Chapter 10 Advocate Constructively for 181 (24)
Better Outcomes
Background 182 (1)
No Shortage of Future Policy Debates 183 (2)
The Importance of Balanced Policy 185 (3)
Objectives
Re-Engaging Public Policy 188 (7)
Broader Issues: Getting Back to 195 (2)
Competitiveness
Implications 197 (8)
Chapter 11 Manage Strategy and Regulatory 205 (8)
Risks Together
Background 205 (3)
Strategy and Regulatory Risks after the 208 (4)
Dodd-Frank Act
Implications 212 (1)
Chapter 12 Maintain Fortress Strength at 213 (18)
All Times
Background 214 (1)
New Basel III Requirements 215 (5)
New Capital and Liquidity Requirements in 220 (7)
the Dodd-Frank Act
Implications 227 (4)
Chapter 13 Live Good Governance 231 (16)
Background 232 (1)
The Value of Good Governance 233 (1)
Recent Regulatory Efforts to Improve 234 (9)
Corporate Governance
IIF Principles 243 (1)
Implications 243 (4)
Chapter 14 Plan Carefully for Contingencies 247 (16)
Background 248 (4)
U.S. Rapid Resolution Plans 252 (4)
Implications 256 (7)
Chapter 15 Engage Regulators on Warning 263 (20)
Signs
Background 264 (1)
Making Sense of Crisis Warning Signs 265 (9)
The New Official U.S. Role in Identifying 274 (2)
Financial Crises
An Industry Action Plan on Early Crisis 276 (4)
Detection
Implications 280 (3)
Chapter 16 Build Trust-Based Supervisory 283 (20)
Relationships
Background 284 (1)
Building Trust-Based Supervisory 285 (10)
Relationships
Improve Supervisory Relationships to 295 (5)
Avoid Negative Regulatory Consequences
Implications 300 (3)
Chapter 17 Conclusion---Be Prepared! 303 (8)
Implications for Financial Companies 303 (3)
Implications for the Financial Services 306 (5)
Industry
Notes 311 (18)
Additional Resources 329 (2)
Acknowledgments 331 (4)
About the Author 335 (2)
Index 337