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A Practical Guide to Dodd-Frank: What Public Company Managers, Financial Professionals, Insurers, and Manufacturers Must Know
A Practical Guide to Dodd-Frankis a tool every board member and manager of a publicly held company should have, not to mention every manager in the financial services industry.Dodd-Frank is a law with a lot of teeth, and the unwary will get bitten if they don't understand how new regulationswhich cover everything from corporate governance to agency reform to consumer protectionaffect them.
Of the 255 new rules and regulations mandated by Dodd-Frank, about 40% have been enacted, and they will start to come with greater frequency. The time to wait and see has passed; managers need to understand the implications of the law in their business sector now. The product of consultant James Low and his KPMG colleagues who specialize in advising companies and organizations affected by Dodd-Frank, this book gives corporate governance stakeholders and line managers insight into how best to navigate the Dodd-Frank maze.
Dodd-Frank was designed to hold public companies accountable in various areas, of course, and to increase regulation of financial institutions big enough to cause damage to the overall financial system if they fail. But the law will also affect those using so-called conflict metals like tin and gold in their manufacturing processes, mining companies, any organization that trades derivatives over the counter, any firm managing $100 million or more in assets, credit rating agencies, and many others. Low explains in detail each part of the law, who is affected, where things stand now in terms of rulemaking, and the challenges the law creates. Naturally, he provides an insider's view of best practices and recommendations on how to proceed. He will also provide an overview of court decisions and legal challenges to the law, as well as the implications of a change in the control of Congress or the Presidency.
Most important, the book will help you understand what you must do now both to comply with regulations that have been enacted, as well those soon to be. The same guidance offered KPMG's corporate customers will help organizations of all sizes and in all affected industries make the transition to a new regulatory world with as few bumps as possible. What you'll learn What Dodd-Frank covers and how it will affect you and your daily work life How to stay on the right side of the law Why manufacturers are subject to parts of the law Consumer protectionsfinancial firmsmust enact What changes in business practice the law mandates How judicial actions and changes in political control may affect Dodd-Frank How Dodd-Frank interacts with international regulations and protocol like Basel III Best practices for compliance
Who this book is for
This book is for managers who work for publicly held companies, as well as directors; financial professionals working for banks, broker-dealers, insurers;and anyone else working in finance or financial services. "
Of the 255 new rules and regulations mandated by Dodd-Frank, about 40% have been enacted, and they will start to come with greater frequency. The time to wait and see has passed; managers need to understand the implications of the law in their business sector now. The product of consultant James Low and his KPMG colleagues who specialize in advising companies and organizations affected by Dodd-Frank, this book gives corporate governance stakeholders and line managers insight into how best to navigate the Dodd-Frank maze.
Dodd-Frank was designed to hold public companies accountable in various areas, of course, and to increase regulation of financial institutions big enough to cause damage to the overall financial system if they fail. But the law will also affect those using so-called conflict metals like tin and gold in their manufacturing processes, mining companies, any organization that trades derivatives over the counter, any firm managing $100 million or more in assets, credit rating agencies, and many others. Low explains in detail each part of the law, who is affected, where things stand now in terms of rulemaking, and the challenges the law creates. Naturally, he provides an insider's view of best practices and recommendations on how to proceed. He will also provide an overview of court decisions and legal challenges to the law, as well as the implications of a change in the control of Congress or the Presidency.
Most important, the book will help you understand what you must do now both to comply with regulations that have been enacted, as well those soon to be. The same guidance offered KPMG's corporate customers will help organizations of all sizes and in all affected industries make the transition to a new regulatory world with as few bumps as possible. What you'll learn What Dodd-Frank covers and how it will affect you and your daily work life How to stay on the right side of the law Why manufacturers are subject to parts of the law Consumer protectionsfinancial firmsmust enact What changes in business practice the law mandates How judicial actions and changes in political control may affect Dodd-Frank How Dodd-Frank interacts with international regulations and protocol like Basel III Best practices for compliance
Who this book is for
This book is for managers who work for publicly held companies, as well as directors; financial professionals working for banks, broker-dealers, insurers;and anyone else working in finance or financial services. "
275 pages, Paperback
About the author
James Low
107 books27 followersVen. Dr. James Low has been a student of the fourth incarnation of Nuden Dorje for thirty years. He studied Tibetan Buddhism in India with multiple masters and has translated multiple texts with Chhimed Rigdzin. Mr. Low works as a consulting psychotherapist in a London public hospital, and teaches dzogchen meditation around the world.
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