... as mandated in Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank). Design/methodology/approach Explains how typical broker-dealer liquidations are generally effected, the alternative of determining a broker-dealer to be a “covered broker-dealer” to be liquidated...

... and to respond immediately in order to mitigate penalties that may result from inadvertent violations. Originality/value This article identifies recent awards issued under Whistleblower Programs created under the Dodd-Frank Act and should be of interest to publicly traded companies and all entities regulated...

...Bryan B. House; Pam L. Johnston; Courtney Worcester Purpose – To explain a recent enforcement action by the USA Securities and Exchange Commission (SEC) whereby the SEC brought its first enforcement action for retaliation against a whistleblower under the Dodd-Frank Wall Street Reform...

... in collateral management and risk operations. © Emerald Group Publishing Limited 2013 Basel III Collateral management Dodd-Frank EMIR Investment banks OIS discounting With reference to the plans of raising automation in collateral management, we received mixed responses from the surveyed...