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Books on the topic 'Regulatory requirement'

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Published: 10 December 2022

Last updated: 28 January 2023

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1

Office, General Accounting. Regulatory reform: Compliance guide requirement has had little effect on agency practices : report to the ranking minority member, Committee on Small Business and Entrepreneurship U.S. Senate. Washington, DC: The Office, 2001.

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2

Torp, Jeffrey. Regulatory compliance audit program: Checklists & related regulatory requirements. Austin, Tex. (7000 West William Cannon Dr., Suite 2230, Austin 78735): AlexInformation, 2002.

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3

Torp, Jeffrey. Information security: Satisfying regulatory requirements. Austin, Tex. (2801 Via Fortuna, Ste. 600, Austin, 78746): AlexInformation, 2003.

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4

Majumdar, Somendu B. Regulatory requirements for hazardous materials. New York: McGraw-Hill, 1993.

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5

Torp, Jeffrey. Regulatory compliance audit program for credit unions: Checklists & related regulatory requirements. 2nd ed. Austin, Tex. (7000 West William Cannon Dr., Suite 2300, Austin 78735): AlexInformation, 2002.

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6

Torp, Jeffrey. Regulatory compliance audit program for credit unions: Checklists & related regulatory requirements. Austin, Tex. (7000 West William Cannon Dr., Suite 2300, Austin 78735): AlexInformation, 2001.

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7

Torp, Jeffrey. Regulatory compliance audit program for credit unions: Checklists & related regulatory requirements. 2nd ed. Austin, Tex. (7000 West William Cannon Dr., Suite 2300, Austin 78735): AlexInformation, 2003.

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8

Kshirsagar, Nilima. Regulatory requirements for drug development and clinical research. New Delhi: Indian Council of Medical Research, 2013.

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9

Kanfer, Isadore. Generic drug product development: International regulatory requirements for bioequivalence. New York: Informa Healthcare, 2010.

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10

Mancuso, John H. Reporting to bank regulators: Requirements and forms manual. Boston, Mass: Warren, Gorham & Lamont, 1990.

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11

National Academies Press (U.S.), ed. Review of chemical agent secondary waste disposal and regulatory requirements. Washington, D.C: National Academies Press, 2007.

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12

Torp, Jeffrey. IT compliance guide to electronic product delivery: Federal regulatory requirements. Austin, Tex. (7000 West William Cannon Dr., Suite 2230, Austin 78735): AlexInformation, 2001.

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13

Torp, Jeffrey. Internet delivery of bank products and services: Federal regulatory requirements. Austin, Tex: AlexInformation, 2002.

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14

Kokoszka, Leopold C. A guide to Connecticut's environmental regulatory requirements for industry and commerce. [Connecticut?]: Environmental Compliance Technologies, 1993.

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15

Thatcher, Jeffrey. Regulatory aspects and permitting requirements for precious metal heap leach operations. Littleton, CO: Society of Mining Engineers, 1988.

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16

Gough, Janet. Write it down: Guidance for preparing documentation that meets regulatory requirements. Denver: Interpharm Press, 2000.

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17

Rennie, Robert. The requirements of writing. Edinburgh: Butterworths/Law Society of Scotland, 1995.

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18

Hightower, Mike. Governmental permitting and regulatory requirements affecting Texas coastal aquaculture operations: Interim guide. [Galveston, Tex.]: Texas A & M University, Sea Grant College Program, 1990.

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19

Henson, Spencer. An assessment of the costs for international trade in meeting regulatory requirements. Paris, France: OECD, 2000.

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20

Organisation for Economic Co-operation and Development. Working Party of the Trade Committee. An assessment of the costs for international trade in meeting regulatory requirements. Paris: OECD, 2000.

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21

Services, New Mexico Mineral Industry. State regulatory requirements for precious metals heap leach mining in New Mexico. [Santa Fe (2040 S. Pacheco St., Santa Fe 87505)]: The Services, 1990.

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22

Kupiec, Paul H. Internal models, subordinated debt, and regulatory capital requirements for bank credit risk. [Washington, D.C.]: International Monetary Fund, Monetary and Exchange Affairs Department, 2002.

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23

Grabowicz, G. J. Regulatory requirements for construction and use of wetlands on mined lands in Pennsylvania. S.l: s.n, 1985.

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24

Charles, Proctor. Part A Regulatory Matters, 5 The Regulation of Payment Services. Oxford University Press, 2015. http://dx.doi.org/10.1093/law/9780199685585.003.0005.

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This chapter focuses on the EU's Payment Services Directive. It discusses the implementation of the Payment Services Directive; the meaning of the term ‘payment service’; the authorization requirement for entities that provide payment services; the different types of available authorizations and applicable conditions; ‘conduct of business’ requirements for the protection and information of service users; the rights and obligations of payment institutions and service users; rules on access to payment systems; powers of the UK Financial Conduct Authority (FCA); and the parallel development of the Single Euro Payments Area (SEPA).

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25

Rezendes, Victor S. Regulatory Reform for Small Business: Compliance Guide Requirement Has Had Little Effect on Agency Practices. Diane Pub Co, 2003.

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26

Charles, Proctor. Part A Regulatory Matters, 6 Capital Adequacy, Liquidity, and Large Exposures. Oxford University Press, 2015. http://dx.doi.org/10.1093/law/9780199685585.003.0006.

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This chapter examines the current capital adequacy framework and associated provisions designed to ensure that a bank's business is managed on a prudent basis. It also considers other closely allied topics which may affect the stability of the banking system, namely, liquidity and large exposure requirement. Topics discussed include the origins of the Basel Standards; Basel 2 and Basel 3 rules; the calculation of risk-weighted assets; the nature and effect of credit risk mitigation techniques; market risk; operational risk; and reform on Basel 2.

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27

Simon, Morris. 4 The Constitution and Powers of the UK Regulators. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780199688753.003.0004.

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This chapter explains the interrelated powers and responsibilities of the various UK bodies involved in the new system of financial services regulation. The role, constitution, and powers of the Bank of England and the Financial Policy Committee (FPC) are reviewed. The policies, statutory framework, and constitutions of the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) are assessed. The provisions—the eight regulatory principles (3B), the principles of good governance (3C), the requirement to coordinate with one another, and requirement to cooperate with any treasury-ordered enquiry into serious regulatory failures—which apply to both the PRA and FCA are examined.

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28

Doyle, Dennis. Institutional - Regulatory Requirements. Educational Training Systems, 1999.

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29

Simon, Gleeson. Part I The Elements of Bank Financial Supervision, 6 Total Loss-Absorbing Capacity. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198793410.003.0006.

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Post-crisis banks are subject to two overlapping authorities: regulatory authority and resolution authority. Both are concerned with the survival of the bank in a crisis, and both have the power to instruct a bank as to how it should structure itself to address that possibility. Total Loss Absorbing Capital (TLAC) is the most significant point of overlap between these two authorities. Viewed from the perspective of a resolution authority, TLAC is simply a name for that proportion of the liabilities of a bank which can be converted into capital in a resolution. However, viewed from the perspective of a prudential supervisor, the TLAC requirement can be viewed as a capital requirement capable of being met with a wider range of instruments than those which qualify as Tier 1 or Tier 2. This chapter discusses TLAC requirements, composition of TLAC, treatment of TLAC holdings by other banks, and the EU's approach to TLAC.

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30

De Laurentis, Giacomo, Eugenio Alaio, Elisa Corsi, Emanuelemaria Giusti, Marco Guairo, Carlo Palego, Luca Paulicelli, et al. Rischio di credito 2.0. AIFIRM, 2021. http://dx.doi.org/10.47473/2016ppa00030.

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The EBA Guidelines on loan origination and monitoring (hereinafter "GL LOM") undoubtedly represent a substantially new piece of the banking regulatory framework. In fact, for the first time, the regulator moves into a topic that was traditionally outside the scope of financial regulation, so far almost exclusively focused on aspects directly linked to both micro- and macro-prudential stability, notably through capital and liquidity management requirements and guidelines on Business Model and Internal Governance. The credit management process, and in particular loan origination and monitoring, has always been typically considered as a business issue under sole responsibility of banks, as it is considered one of the "core" processes (if not the "core" process) of the banking business. As a matter of fact, since the issue of the capital requirement regulation (i.e., Basel II and Basel III), and the introduction of the use requirements for the rating systems, the regulator moved very close, but not yet, to prescribe specific credit assessment criteria, while dictating methodological and organizational requirements for the authorization of the rating systems, and leaving substantial freedom to banks to define their own models and embedded assessment criteria and indicators. With the GL LOM, the regulator takes a further step, remarkably beyond its traditional remit, dictating principles and rules for the evaluation of the credit quality of borrowers. The starting point for this new approach from the regulator can be found in the ECB guidelines on Non-Performing Loans, later endorsed by the Bank of Italy Guidelines for Less Significant Banks, aimed at encouraging banks to define their NPL management processes and establish reduction plans to achieve NPL ratio targets in line with the regulator's expectations. Consistently with the focus on NPL, the regulation on Calendar Provisioning, amending the CRR was issued; as being a Regulation, it involves all banks, and not only significant ones (for which the ECB Addendum also applies). In addition, the new definition of default (the so-called "new Dod") has defined stricter criteria for the transition of exposures to the default status and also made the return of "cured" exposures to the performing status more difficult. The combined effect of these regulatory changes has been to make the default of counterparties not only more probable but also much more "expensive" for the banks. The natural “next step” of these regulatory changes was to "move backward" into the management process covering loan origination and monitoring . The EBA's stated objective with the issuance of the GL LOM is to define "robust and prudent" standards of lending practices so as to maintain a low level of NPLs in the future. Therefore, the focus of the GL LOM is the definition of requirements (some outlined as prescriptions, others in terms of principles) for the creditworthiness assessment of counterparties and for the management of the related data and information. Notwithstanding the fact that the Final Report has articulated the principle of proportionality much more clearly as compared to the Consultation Paper, the GLs set out three macro-categories of counterparties for which specific requirements are defined: • Individuals • Micro and small businesses • Medium and large companies. The GL LOM also provide recommendations about the valuation of guarantees both at origination and during ongoing monitoring, encouraging the use of advanced statistical models. The GL LOM focus on real estate guarantees, while financial collateral is outside the scope of the GL LOM. In the mind of the regulator, the GL LOM should not only reflect industry practices, but also incorporate the latest supervisory guidance on lending, and provide the stimulus to include ESG, AML/CTF and the use of innovative technologies into banking origination and, where applicable, monitoring processes.

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31

(Firm), ERM-West, ed. Regulatory training requirements compliance guide. North Vancouver, B.C., Canada: STP Specialty Technical Publishers, 1994.

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32

Regulatory requirements for small communities. Olympia, Wash: Washington State Dept. of Ecology, 1997.

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33

Walker, John D., Lynn L. Bergeson, and Bernalyn D. McGaughey. International Chemical Testing Regulatory Requirements. Taylor & Francis Group, 2005.

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34

Simon, Morris. 6 The Approval and Regulation of Individuals. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780199688753.003.0006.

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This chapter concerns the approval and the regulation of individuals—specifically the senior management and customer-facing staff of a firm. Following the collapse of institutions such as Northern Rock (2007), it was agreed that the regulator should engage more intensively with firms over senior management’s competence and technical skills. This chapter considers the requirement for approval, the application process for approval, the possibility of withdrawal of approval, and the penalty for performance of a controlled function without approval. It then considers the Financial Conduct Authority’s (FCA) power to prohibit an individual from performing certain functions, or to take disciplinary action against an individual guilty of misconduct. Finally, the FCA and Prudential Regulatory Authority’s (PRA) ability to make rules of conduct, and the application of the Statements of Principle and Code of Practice for Approved Persons (APER), are discussed.

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35

Carberry, Charles M. Money Laundering: Reporting and Regulatory Requirements. New York Law Pub Co, 1993.

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36

Cowan, J. Lloyd's Regulatory Requirements (Chartered Insurance Institute). Chartered Insurance Institute, 1991.

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37

Consultants, Sentar, and Northern River Basins Study (Canada), eds. Regulatory requirements for nutrient effluent discharges. Edmonton: The Study, 1994.

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38

Inc. Center for Futures Education. U.S. Regulatory Requirements Examination (Series 32). Center for Futures Education, 1996.

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39

French, Derek, Stephen W. Mayson, and Christopher L. Ryan. 7. Offering shares to the public. Oxford University Press, 2016. http://dx.doi.org/10.1093/he/9780198778301.003.0007.

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This chapter focuses on public offering of shares as a source of finance for companies, with emphasis on the legal requirements to provide the necessary information to prospective investors. It also considers the importance of a marketplace for selling shares at the best possible price, as well as the regulation of the financial services industry by the Financial Services and Markets Act 2000. In addition, it discusses two national controls on share offers to the public under the Companies Act 2006 with respect to payment of underwriting commission and repayment of subscribers’ money if a share offer is not completely successful. The chapter examines the regulatory regimes for securities markets, some of the main reasons or advantages for going public, the prospectus requirement and any exemptions to it, and how the law deals with misleading statements and omissions in prospectuses.

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40

French, Derek. 7. Offering shares to the public. Oxford University Press, 2018. http://dx.doi.org/10.1093/he/9780198815105.003.0007.

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This chapter focuses on public offering of shares as a source of finance for companies, with emphasis on the legal requirements to provide the necessary information to prospective investors. It also considers the importance of a marketplace for selling shares at the best possible price, as well as the regulation of the financial services industry by the Financial Services and Markets Act 2000. In addition, it discusses two controls on share offers to the public under the Companies Act 2006 with respect to payment of underwriting commission and repayment of subscribers’ money if a share offer is not completely successful. The chapter examines the regulatory regimes for securities markets, some of the main reasons or advantages for going public, the prospectus requirement and any exemptions to it and how the law deals with misleading statements and omissions in prospectuses.

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41

Schweitzer, Stuart O., and Z. John Lu. Pharmaceutical Regulation in the European Union. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780190623784.003.0014.

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The main scientific and technical aspects of new drug registration, including pathways to marketing authorization approval, clinical study design and method, and requirement of and specifications for Good Clinical Practice, Good Laboratory Practice, and Good Manufacturing Practice, are all quite similar between Europe and the United States. Differences do exist, however. This chapter provides a closer examination of the drug regulatory regime in the European Union. After providing a brief history of the European Medicines Agency, the chapter examines the agency’s organizational structure and role in ensuring the safety and efficacy of pharmaceutical products for Europe, and discusses the regulatory pathways for generics and biosimilars in the EU. The chapter also looks at recent trends in international drug approval lags.

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42

Marcus, Smith, and Leslie Nico. Part III Transfers in Particular Contexts, 19 The Transfer of Equity and Debt Securities. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198748434.003.0019.

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This chapter examines securities trading. Although securities are classed as choses of action, they have long been subject to special statutory schemes. In particular, the transfer of shares has long been subject to a registration requirement that importantly supplements the general law of assignment. The requirement for registration arose as a matter of historical necessity. Meanwhile, the modern statutory scheme relating to securities transfers was necessitated by the explosion of financial trading activity following the deregulation of the UK markets, or Big Bang, in the late 1980s. Almost all modern securities transactions are effected by means of electronic exchanges, which have replaced the open-outcry floor-based systems that operated in the past. The chapter then looks at the characteristics of these exchanges, the regulatory framework in which they operate, and the clearing houses on which they depend.

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43

U.S. Nuclear Regulatory Commission. Division of Risk Analysis and Operations., Pacific Northwest Laboratory, and U.S. Nuclear Regulatory Commission. Office of Nuclear Regulatory Research. Division of Regulatory Applications., eds. Review of light water reactor regulatory requirements. Washington, D.C: Division of Risk Analysis and Operations, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, 1986.

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44

Shargel, Leon, and Isadore Kanfer. Generic Drug Product Development: International Regulatory Requirements. Informa Healthcare, 2010.

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45

Organisation for Economic Co-operation and Development., ed. Information infrastructures: Their impact and regulatory requirements. Paris: OECD, 1997.

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46

U.S. Nuclear Regulatory Commission. Division of Risk Analysis and Operations., Pacific Northwest Laboratory, and U.S. Nuclear Regulatory Commission. Office of Nuclear Regulatory Research. Division of Regulatory Applications., eds. Review of light water reactor regulatory requirements. Washington, D.C: Division of Risk Analysis and Operations, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, 1986.

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47

Training requirements for healthcare facilities: Regulatory compliance guide. Stp Specialty Technical Publishers, 1994.

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48

Standard Requirements, Terminology, and Test Code for Step-Voltage Regulators. IEEE Standards Office, 2000.

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49

Singh, Harikesh Bahadur, Birinchi Kumar Sarma, and Chetan Keswani. Agriculturally Important Microorganisms: Commercialization and Regulatory Requirements in Asia. Springer, 2016.

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50

Singh, Harikesh Bahadur, Birinchi Kumar Sarma, and Chetan Keswani. Agriculturally Important Microorganisms: Commercialization and Regulatory Requirements in Asia. Springer, 2016.

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