Sarbanes-Oxley was enacted to protect investors, not the regulated company.
Similar to REITs as special investment vehicles created under the Regulated Investment Company (RIC) guidelines by Congress in 1980, the BDCs are required to pay out 90% of taxable income as dividends to shareholders.
On the regulated side the company serves 1.5 million gas and electric customers in Indiana, Kentucky and Ohio.
Amex, like Goldman Sachs ( GS) and Morgan Stanley ( MS), received federal money to help stabilize its funding during the panic, and had to become a regulated bank holding company in late 2008.
Yet, although Glass-Steagall was scrapped last year, Merrill has not formed a bank-holding company, regulated by the Federal Reserve, which the replacement Gramm-Leach-Bliley act allows.
Investment companies are regulated primarily under the Investment Company Act of 1940.
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Moreover, the federal government will never be large enough, nor should it be large enough, to continuously monitor compliance at each and every company within a regulated industry.
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This is the largest publicly traded regulated water and wastewater utility holding company in the U.S., catering to approximately 15 million residents across the country and parts of Canada.
With certain limited exceptions, FDA employees and their families cannot hold a financial interest in any company that is significantly regulated by FDA. FDA employees must report their financial interests on a yearly basis and their reports are reviewed by Agency ethics staff.
The company is big, stable and regulated, and regulators in Georgia have looked kindly on the project.
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Every single limo company we work with is licensed and regulated by the state of California.
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The company is in the business of managing regulated waste and providing an array of related and complementary services.
The company is also offering recording services for regulated financial sectors that is seamless to both the calling and called parties to a mobile conversation.
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One of the comments I wanted to make, coming from Europe where carbon is regulated, I see firsthand -- I have a company in France also -- that regulation works.
If drugs were made by a pharmaceutical company, then at least the industry would be regulated.
Reckless enforcement, or a bias against a regulated industry, is also counter-productive because it removes company incentives to comply with regulations, thereby undermining the purpose behind enforcement, which is to ensure voluntary compliance.
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However, the Spanish company would not be able to alter charges directly as these are regulated by the Civil Aviation Authority.
Assets may be custodied with a bank, trust company or brokerage domestically or abroad which may not be financially sound or adequately regulated.
Given the perilous state of a great number of corporate pension funds and the firms that stand behind them, many pensioners may be better off in the hands of well-capitalised and -regulated insurers, especially as official compensation is more generous if an insurer fails to honour its obligations than if a company goes bust leaving an underfunded pension scheme.
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