What’s more, companies in North America must still adhere to guidelines that the Security Exchange Commission (SEC) established. The SEC is responsible for identifying any ESG-related misconduct such as greenwashing or fraud. Third-party organizations, such as Bloomberg and S&P Dow Jones Indices, ...
PurposeWhile several facets of financial misconduct have been explored, one aspect which has largely bypassed the attention of researchers is the factors affecting such misconduct behavior in banks. To investigate this in detail, this paper aims to use disaggregated data on Indian banks for an ...
What is a non expert called? A person who is not an expert.amateur.dabbler.potterer.dilettante. How do you say you are not an expert? I am not an expert in -> I amnot considered[by myself to be] an expert within the subject of <insert subject>: Chemistry; French; Malaria, etc....
1. Insider Trading: An employee of a credit card company who has access to confidential customer data may use that information to make trades based on non-public information. This gives them an unfair advantage in the financial markets and is considered insider trading, which violates SEC regulat...
Having delved into futures trading in the past, my intrigue in financial, economic, and political affairs eventually led me to a striking realization: the current debt-based fiat system is fundamentally flawed. This revelation prompted me to explore alternative avenues, including...Read More ...
Self-Regulatory Organizations (SROs) are non-governmental entities that oversee specific segments of the financial industry, such as stock brokers and broker-dealers. Although independent, they operate under the supervision of the SEC, which monitors their rules, operations, and enforcement of standards...
On enforcement, the FCAstatesthat it aims “to achieve fair and just outcomes in response to misconduct and to ensure our rules and requirements are obeyed.” The FCA’s enforcement penalties for non-compliance can be severe—ranging from multi-billion-dollar fines to having business licenses rev...
Corporate fraud is the broad category of illegal activities carried out by a company or individuals within it. Accounting fraud falls under this umbrella.Corporate fraudalso includes insider trading, bribery, money laundering, tax evasion, and other forms of financial and nonfinancial misconduct. A s...
Only base period employers are part of an unemployment claim. Non-base period employers have no such liability. Filing an Unemployment Claim The time you file an unemployment claim is very important. For example, consider an employer who hires an employee in March and lets that individual go ...
An agent is often liable to their principal if they violate their duty or deviate from a reasonable, expected action performed on behalf of the other party. This may be the result of exceeding the authority they've been given, acting in misconduct, being unreasonably negligent, or any other ...