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Regulation Key Concepts

QFINANCE Revised 2nd edition. Order your copy now.

Viewpoint: Bernhard Speyer and Norbert Walter

Will the European Union emerge from the financial crisis as the key regulator? The facts point to a fragmented approach that threatens any long-term, pan-national approach.
Costs and Benefits of Accounting-based Financial Regulation in Emerging Capital Markets

Gaming the numbers has emerged as part of the reason for the global crash. Yet accounting-based regulation brings real benefits, as recent Chinese regulations demonstrate.
Why Organizations Need to be Regulated—Lessons from History

Some organizations mismanage risks while others prosper. Regulation aims to ensure that risk is more effectively managed at both the national and pan-national levels.
The Effect of SOX on Internal Control, Risk Management, and Corporate Governance Best Practice

Threatening chief executives with jail for material misstatements in accounts made the US Sarbanes-Oxley Act famous worldwide. Its impact on reporting has been dramatic.
Solvency II: Its Development and Aims

This article describes Solvency II regulatory requirements for insurance companies, and its aims and purpose.

QFINANCE Refresher

Key Concepts

Key Concepts provide you with definitions of buzzwords appearing in the media to ensure that you are up to speed with the current finance conversation. Produced in snapshot, glossary form, Key Concepts direct you to additional material to increase your knowledge and satisfy your interest.

Sarbanes–Oxley
The Sarbanes–Oxley Act of 2002 (SOX) sought to clean up corporate America following the spectacular financial scandals that engulfed Enron and WorldCom and which cost investors billions of dollars.Sarbanes–Oxley requires US companies to report annually on the operational effectiveness of their internal controls over financial reporting. The company’s auditors must also attest to and report on the board’s assertions. So the legislation has the...

Irresolute men are sometimes very persistent in their undertakings, because if they give up their designs they would have to make a second resolution.
Giacomo Leopardi (1798–1837), Italian poet and scholar
Source: “Sayings of Filippo Ottonieri,” Essays, Dialogues, and Thoughts (1827)

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