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International Securities Markets 2003: Emerging Best Practices for a Rapidly Evolving Regulatory Scheme
Chair(s):
Nicolas Grabar, Michael D. Mann
Practice Area:
Corporate law,
Securities and other financial products
Published:
May 2003
i
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ISBN:
140240297X
PLI Item #:
455
CHB Spine #:
B1372
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Speech by SEC Commissioner: The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation by Commissioner Paul S. Atkins, University of Cologne, Germany, February 5, 2003
Chapter 2. Speech by SEC Commissioner: Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002 by Commissioner Paul. S. Atkins, Deutsches Aktieninstitut, February 4, 2003
Chapter 3. Speech by SEC Staff: International Developments: Convergence and You by Jackson M. Day, Aicpa SEC Developments Conference, December 13, 2002
Chapter 4. Speech by SEC Chairman: A Single Capital Market in Europe: Challenges for Global Companies by Chairman Harvey L. Pitt, Conference of the Institute of Chartered Accountants of England & Wales, Brussels, Belgium, October 10, 2002
Chapter 5. Speech By SEC Chairman: Remarks at the Financial Times' Conference on Regulation & Integration of the International Capital Markets by Chairman Harvey L. Pitt, London, U.K., October 8, 2002
Chapter 6. Litigation Release No. 18014: District Court Enters Permanent Injunction in Fraud Action Against Lernout & Hauspie Speech Products - Securities and Exchange Commission V. Lernout & Hauspie Speech Products, N.V. Civ. No. 1:02cv01992 (D.D.C.) - SEC Deregisters Lernout & Hauspie's Common Stock, March 4, 2003
Chapter 7. Litigation Release No. 17782: The Commission Files Accounting Fraud Action against Lernout & Hauspie Speech Products - Securities and Exchange Commission v. Lernout & Hauspie Speech Products, N.V. Civ. No. 1:02CV01992 (D.D.C.), October 10, 2002
Chapter 8. Complaint: SEC v. Lernout & Hauspie Speech Products, N.V.
Chapter 9. Litigation Release No. 17776: SEC Files Fraud Action Against ACLN, Ltd. Three Officers and the Company's Auditing Firm, BDO Cyprus - Action Seeks Repatriation of $45 Million in Frozen Funds, October 8, 2002
Chapter 10. Complaint: SEC v. A.C.L.N., Ltd., et. al. United States District Court for the Southern District of New York
Chapter 11. SEC Censures Dutch Ernst & Young Firm and Orders it to Pay $400,000 Civil Penalty for Immediate Release 2002-95
Chapter 12. No Action Letter: Commissione Nazionale per le Societa e la Borsa re Auditor Independence No Action Request, Office of the Chief Accountant, U.S. Securities and Exchange Commission, August 24, 2000
Chapter 13. Letter From SEC Acting Chief Accountant and Director of Corporation Finance to the Institute of Chartered Accountants of England & Wales re: The Use of Clarifying Language in UK Audit Opinions, February 28, 2003
Chapter 14. The Audit Report and Auditors' Duty of Care to Third Parties - Audit 01/03, the Institute of Chartered Accountants in England & Wales, January 2003
Chapter 15. Summary by the Division of Corporation Finance of Significant Issues Addressed in the Review of the Periodic Reports of the Fortune 500 Companies, U. S. Securities and Exchange Commission, December 2001
Chapter 16. International Financial Reporting and Disclosure Issues in the Division of Corporation Finance, U.S. Securities and Exchange Commission, May 1, 2001
Chapter 17. Comment Letter from the European Commission, February 18, 2003
Chapter 18. Comment Letter from the Italian Association of Limited Liability Companies - Assonime, Italy, February 18, 2003
Chapter 19. Comment Letter from ORIX Corporation, Japan, February 18, 2003
Chapter 20. Comment Letter from Financial Services Agency, Government of Japan, February 14, 2003
Chapter 21. Comment Letter from Associacao Brasileira das Companhias Abertas - ABRASCA, Brazil, February 10, 2003
Chapter 22. Comment Letter from Association Francaise des Entreprises Privees - Association des Grandes Entreprises Francaises ("AFEP-AGREF"), France, February 10, 2003
Chapter 23. Comment Letter from Tokyo Branch Offices of Davis Polk & Wardwell, Simpson Thacher & Bartlett and Sullivan & Cromwell, December 20, 2002
Chapter 24. Comment Letter from Members of the Brazilian Bar Association ("OAB"), Brazil, December 18, 2002
Chapter 25. Comment Letter from Clifford Chance, December 18, 2002
Chapter 26. Comment Letter from Comision Nacional Bancaria y de Valores, Mexico, December 18, 2002
Chapter 27. Comment Letter from the European Commission, December 13, 2002
Chapter 28. Review of the Role and Effectiveness of Non-Executive Directors, Derek Higgs, January 2003
Chapter 29. News Release from the Financial Accounting Standards Board - FASB and IASB Agree to Work Together Toward Convergence of Global Accounting Standards, London, U.K., October 29, 2002
Chapter 30. Promoting Better Corporate Governance in Listed Companies, Report of AFEP AGREEF / MEDEF Working Group Chaired by Daniel Bouton, President of Societe Generale Bank, September 23, 2002
Chapter 31. Recommendations on Corporate Governance from the Brazilian Securities Commission - Comissao de Valores Mobilarios, June 2002
Chapter 32. Internal Control: Guidance for Directors on the Combined Code, Published by the Internal Control Working Party of the Institute of Chartered Accountants in England & Wales, September 1999
Chapter 33. Letter from ABA Committee on Federal Regulation of Securities to David B.H. Martin, Division of Corporation Finance, U.S. Securities and Exchange Commission, RE: Securities Act Reform - August 22, 2001
Chapter 34. Building on the International Convergence of the Global Markets: A Model for Securities Law Reform November 15, 2001, Revised in August 2002
Chapter 35. Implementing IAS -- Extract From: IAS Compared with US GAAP -- September 2002
Chapter 36. Issues Addressed by the AICPA International Practices Task Force: Inception through March 2003
Chapter 37. The SEC's Cross-Border Exemptions: Reducing the Regulatory Barriers to U.S. Participation in and Conduct of Foreign Takeovers
Chapter 38. Research and Investment Banking: The New Standards - March 24, 2003
Chapter 39. Developments in the Internationalization of Securities Enforcement
Chapter 40. Is an Issuer an Investment Company?
Chapter 41. An Overview of Takeover Regimes in the United Kingdom, France and Germany and of the Proposal for a Directive of the European Parliament and Council on Takeover Bids
Chapter 42. Federal Regulation of Broker Dealer Activity on the Internet - January 8, 2003
Chapter 43. UNIBANCO And Beyond: The Extraterritorial Reach of the U.S. Investment Advisers Act of 1940
Chapter 44. Powerpoint Slides
Chapter 45. New Developments in Procedures for Book-Entry Deposit of Rule 144A Securities by Certain Issuers Relying on Section 3(c)(7) of the Investment Company Act
Chapter 46. United States Regulation of Funds
Chapter 47. Hedge Fund Overview and Regulatory Outlook
Chapter 48. Registration Implications of Cross-Border Trading Activities
Chapter 49. Sarbanes-Oxley and Other Developments in U.S. Securities Regulation
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