Regulamento Financeiro

To ensure your financial reporting is accurate, you need to have clear processes and procedures for recording and verifying revenues, expenses, assets, and liabilities. In accounting, keeping in line with these rules is called compliance. Quais são os quatro tipos de conformidade? Different types of compliance business owners need to…

The SEC has oversight authority over the PCAOB, including the approval of the Board’s rules, standards, and budget. A direcção do PCAOB é independente? Ao criar o Conselho de Supervisão da Contabilidade das Empresas Públicas (PCAOB), a Lei Sarbanes-Oxley exigiu que os auditores das empresas públicas americanas fossem sujeitos a…

20 days after the registration statement is filed, when it becomes automatically effective under Section 8(a) of the Securities Act; or. 60 days after the initial filing of a registration statement under Section 12(g) of the Exchange Act. Quanto tempo dura uma declaração de registo na prateleira? três anos Todas…

Representative APR 504.7% No, peer-to-peer loans are not covered by the Financial Services Compensation Scheme (FSCS) but most lenders have procedures in place to either reimburse you or help you retain maximum interest. O empréstimo entre pares está regulamentado no Reino Unido? As plataformas de empréstimo entre pares (também conhecidas…

The Sarbanes Oxley Act requires all financial reports to include an Internal Controls Report. This shows that a company’s financial data accurate and adequate controls are in place to safeguard financial data. Year-end financial dislosure reports are also a requirement. Quais são os quatro aspectos chave da Lei Sarbanes-Oxley de…

The following types of transactions are EFTs and fall under Reg E: Point-of-sale transfers. ATM transfers. Direct deposits and withdrawals (Automated Clearing House, or ACH, transfers) A ACH é abrangida pelo Reg E? O Regulamento E fornece orientações para consumidores e bancos ou outras instituições financeiras no contexto das EFT.…

O que significa a conformidade SOX? A conformidade SOX refere-se às auditorias anuais que têm lugar nas empresas públicas, dentro das quais estas são obrigadas por lei a apresentar provas de relatórios financeiros precisos e seguros. As empresas públicas são obrigadas a cumprir a SOX, tanto financeiramente como em TI.…

A. Accounting Standard I relating to disclosure of accounting policies : 1. All significant accounting policies adopted in the preparation and presentation of financial statements shall be disclosed. O que é a divulgação na norma contabilística? A divulgação de políticas contabilísticas ou de alterações das mesmas não pode corrigir um…

If approved, the property will be designated as a short sale in the sales listing, and offers made on the home will be sent to the lender and seller to accept, counter or reject. A short sale home is usually sold for less than – or “short” of – the…

According to Rule 2T, a member organization, member, or member firm is a company registered with FINRA. This firm designates an individual to execute transactions for the company and is approved by the NYSE. O que significa ser um membro da FINRA? Membro da FINRA significa qualquer corretor ou negociante…

O que quer dizer com supranacional? envolvendo mais do que um país, ou tendo um poder ou autoridade superior ao de um único país: A NATO é uma organização supranacional. Relações internacionais: política internacional e governo. adesão. aliados. O que é o poder supranacional? Significado de Supranacional. Supranacional refere-se a…

Financial institutions covered by the Gramm-Leach-Bliley Act must tell their customers about their information-sharing practices and explain to customers their right to “opt out” if they don’t want their information shared with certain third parties. Quais são as três regras chave da GLBA? The three sections include the following: Financial…

In its mission to “safeguard the financial system from the abuses of financial crime, including terrorist financing, money laundering and other illicit activity,” the Financial Crimes Enforcement Network acts as the designated administrator of the Bank Secrecy Act (BSA). Qual é o objectivo principal da BSA? A Lei de Informação…

12 Sep 2019. The term ‘Principal-agent relationship’ or just simply, ‘Agency relationship’ is used to describe an arrangement where one entity, the principal, legally appoints another entity, the agent, to act on its behalf by providing a service or performing a particular task. Qual é a relação da agência? Uma…

The brochure rule states that the required information must be provided to new clients at least 48 hours before entering into an advisory contract. Advisors must give existing clients a new brochure every year. Failure to provide the brochure is considered fraudulent behavior. Qual é a regra da solicitação de…

What is a SOX walkthrough? A SOX walkthrough is conducted by an auditor and aims to evaluate the effectiveness of internal controls and control design alongside gathering an understanding of transaction process flows. O que é um procedimento de passagem? O que é um teste de passagem? Um teste de…

Section 501(b) of the Gramm-Leach-Bliley Act (GLBA) established the policy that each financial institution has an affirmative and continuing obligation to respect the privacy of its customers and protect the security and confidentiality of nonpublic personal information. Quais são os objectivos GLBA 501b? O objectivo das directrizes é assegurar a…

The three sections include the following: Financial Privacy Rule. This rule, often referred to as the Privacy Rule, places requirements on how organizations may collect and disclose private financial data. … Safeguard Rule. … Pretexting Rule. Quais são as duas partes significativas da Lei Gramm-Leach-Bliley? As instituições financeiras abrangidas pela…

Open disclosure describes the way clinicians communicate with and support patients, and their family and carers,a who have experienced harm during health care. Open disclosure is a patient right, is anchored in professional ethics, considered good clinical practice, and is part of the care continuum. Quais são os princípios-chave da…

The regulation of professional accountants in the United States is primarily carried out by the state boards of accountancy, which coordinate through the National Association of State Boards of Accountancy, and the Public Company Accounting Oversight Board (PCAOB) for firms auditing public business entities. Quem regula a profissão contabilística? Actualmente,…