NYSE Peraturan,Inc adalah perusahaan independen yang
didedikasikan untuk memperkuat integritas pasar dan perlindungan investor. Sebuah
anak perusahaan dari NYSE Euronext , papan NYSE Peraturan direksi terdiri dari
sebagian besar direktur tidak terafiliasi dengan papan NYSE lainnya . Akibatnya
, Peraturan NYSE independen dalam pengambilan keputusan tersebut.Sebagai organisasi self-regulatory, bursa sekuritas NYSE
Euronext AS bertanggung jawab untuk menegakkan kepatuhan oleh anggota mereka
dengan aturan dan persyaratan pertukaran sekuritas federal yang berlaku, serta
monitoring dan menegakkan kepatuhan emiten dengan standar pencatatan yang
berlaku. Peraturan
NYSE melakukan dan mengawasi tanggung jawab organisasi ini self-regulatory dan
fungsi, melalui kombinasi perjanjian antar delegasi dan perjanjian layanan
peraturan. Selain
itu, beberapa fungsi regulasi ini telah dialokasikan untuk FINRA. Lainnya
dilakukan oleh FINRA atau organisasi swa-regulasi lain sesuai dengan perjanjian
layanan peraturan dan rencana sistem pasar nasional.
NYSE PeraturanInc, mengawasi kinerja FINRA tentang layanan ini, memaksa perusahaan yang
terdaftar sesuai dengan standar yang berlaku, dan mengawasi penentuan kebijakan
peraturan, interpretasi aturan dan regulasi yang terkait dengan pembangunan
aturan.
Peraturan NYSE terdiri dari kelompok-kelompok fungsional
berikut:
Listed Company Kepatuhan ;
Kebijakan dan Manajemen peraturan;
StockWatch,dan
AdministrasiPeraturan.
NYSE Arca Financial and Operational
Compliance
NYSE
Arca has contracted with FINRA as its agent to perform certain regulatory
responsibilities. All broker dealer Equities Trading Permit Holders and Options
Trading Permit Holders for which NYSE Arca is the Designated Examining
Authority (DEA) must direct all financial and operational compliance notices,
reports, including FOCUS Reports (submitted via the FINRA eFOCUS system) and
updates to organizational documents to their FINRA Finance Coordinator.
All
NYSE Arca DEA broker-dealers may direct questions regarding FOCUS reports,
financial disclosure filings, broker-dealer examinations and NYSE Arca
rule-related questions to their FINRA Finance Coordinator.
FINRA eFocus System
All
NYSE Arca DEA broker-dealers must submit their FOCUS Reports (Part IIA and
Schedule I) to NYSE Arca via FINRA’s eFocus System, which can be accessed
through the Electronic Filing Platform. Refer to NYSE Regulation Information
Memo 07-25 (Web Based Transmission of FOCUS Data) for further information.
Firms are reminded to maintain each manually signed FOCUS Report filed at its
place of business. FINRA staff may request to review the signed cover page
during their examinations, or may ask for a copy to be submitted to FINRA, as
needed.
If
you experience any problems accessing the system or have technical questions,
please contact your FINRA Finance Coordinator.
Compliance Risk Assessments
Compliance
Risk Assessments While not all compliance risks can be avoided, Corpedia’s
Compliance Risk Assessment aims to help your organization identify, prioritize,
and prevent organizational compliance risks and the threats they pose.
Utilizing both quantitative and qualitative methodologies, Corpedia generates a
comprehensive and objective picture of an organization’s exposure to compliance
risks. The end result is a clear understanding of the specific and unique risks
facing your organization, and practical recommendations to help you manage and
mitigate these risks. Additionally, our Compliance Risk Assessment Solutions
measure risk in a way that is easily repeatable, helping you showcase your
organization’s return on its investment in compliance and ethics. Our solution
also helps your organization satisfy the sixth hallmark of the Federal
Sentencing Guidelines, which recommends regular monitoring and auditing of your
program and compliance risks.
ECERA® (Enterprise-wide Compliance
and Ethics Risk Assessment)
ECERA®
(Enterprise-wide Compliance and Ethics Risk Assessment) This technology-based
solution includes a comprehensive review of internal and external
compliance-related data. With ECERA, Corpedia conducts an examination of
corporate policies, procedures, and controls, including the structure of the
compliance program, comprehensive interviews and surveys, and a rigorous data
analysis. It not only ensures that you meet the expectations for risk
assessment outlined in the FSG and SOX, but also provides an affirmative
defense in the event of any compliance failure.
Organizational Health and Culture
of Ethics Assessment
Organizational
Health and Culture of Ethics Assessment To better understand their compliance
environment and operating culture, an increasing number of organizations have
turned to Corpedia to conduct an assessment or measurement of such. When an
organization has a strong ethical culture, employees are not only more likely
to act in a legally compliant and ethical manner, but are also more trusting of
the compliance system, and more likely to report any improper behavior they
observe.
Employee Knowledge Assessment
Employee Knowledge Assessment Beyond an
understanding of its own culture, an organization must also appreciate its
employee base’s level of awareness and comprehension of ethics, compliance, and
business conduct issues relevant to their job duties. Employee knowledge and
intent both play a crucial role in understanding the misconduct risk exposure
of an organization, and are thus an important part of the prevention and
detection effort.
New York Stock Exchange ( Tugas 1 Akuntansi Internasional )