'Enforcement division' presentation slideshows

Co-Op INSPECTION PROGRAM

991 views • 52 slides

Utility Wildfire Risk Mitigation: A California Perspective

178 views • 17 slides

CPUC Decision 14-03-021

183 views • 17 slides

Curbstoning

Curbstoning. Revised 06-09-2014. WHAT IS CURBSTONING?. The unlawful sale of motor vehicles. Curbstoning commonly occurs on public roadsides, right of ways and parking lots. Curbstoners may be: Licensed dealers operating off their licensed premises

259 views • 14 slides

Market Oversight at the Commodity Futures Trading Commission

Market Oversight at the Commodity Futures Trading Commission. Mike Gorham Director Division Of Market Oversight. February 5, 2003 FERC/CFTC Joint Technical Conference on Credit Issues in the Energy Markets. Market Oversight. Market & Product Review (14)*. Market Compliance (36)*.

179 views • 8 slides

Policy Dialogue on Corporate Governance in China

Policy Dialogue on Corporate Governance in China. Regulatory Enforcement, the UK Experience Daniel Thornton Law Policy & International Co-operation Enforcement Division Financial Services Authority. Accountability of the FSA. Statutory immunity Board appointed by HM Treasury

134 views • 7 slides

6 Months Since Sarbanes/Oxley

6 Months Since Sarbanes/Oxley. 259 criminal actions in FY2002 by 30 different U.S. Attorney's Offices and DOJ for securities-related offenses or obstruction of justice in SEC investigations;

259 views • 5 slides