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Author : Jonathan Herbst,Simon Lovegrove
Publisher : Unknown
Page : 529 pages
File Size : 49,9 Mb
Release : 2018
Category : Financial instruments
ISBN : 0414065727
Author : Simon Gleeson
Publisher : Unknown
Page : 465 pages
File Size : 44,9 Mb
Release : 2013-11-12
Category : Banking law
ISBN : 0414028139
A complete guide to the regulation of investment banking activities. Since publication of the 2nd edition in 2007 there have been a number of very significant developments which will fundamentally affect the way that investment banking is conducted in the UK, Europe and internationally. The 3rd edition has been substantially restructured and revised to take into account these developments, including the Vickers Report, Basel III, MiFID II and the Dodd Frank Act in the US.
Author : Matthew Elderfield
Publisher : City & Financial Pub.
Page : 348 pages
File Size : 53,8 Mb
Release : 2007-01-01
Category : Financial instruments
ISBN : 1905121156
MiFID - the Markets in Financial Instruments Directive - is one of the most wide ranging and ambitious directives flowing out of the EU's Financial Services Action Plan. Launching in November 2007, it is a key measure designed to further the development of a single European market in financial services. Whether it will be successful in that goal remains to be seen, but it is clear that the implementation of MiFID will have an enormous impact on the way that financial markets operate. MiFID extends the coverage of the current ISD regime and introduces new and more extensive requirements to which firms will have to adapt.
Author : Steven Dym
Publisher : McGraw Hill Professional
Page : 466 pages
File Size : 51,8 Mb
Release : 2010-01-08
Category : Business & Economics
ISBN : 9780071713726
A comprehensive, practical guidebook to bonds and the bond market Speaking directly to the practitioner, this thorough guide covers everything there is to know about bonds—from basic concepts to more advanced bond topics. The Complete Practitioner’s Guide to the Bond Market addresses the principles of the bond market and offers the tools to apply them in the real world. By tying the concepts of fixed-income products to big-picture aspects of the economy, this book prepares readers to apply specific tools and methods that will help them glean profits from the bond market.
Author : Seb Malik
Publisher : Unknown
Page : 0 pages
File Size : 53,7 Mb
Release : 2016
Category : Finance
ISBN : 0993546536
Equipped with this guide, with its comprehensive references and links to source texts, business analysts and project managers will stand tall, empowered to drive forward critical regulatory projects. Other MiFID II tracts are either too high level to be of any practical aid, or too detailed (aimed principally at the legal community) leaving the reader overwhelmed. That the changes required for MiFID II are not communicated in a single unified document is where this guide earns its keep. There are a plethora of directives, regulations, technical specifications and updates running into thousands of pages that must be read, digested, cross-referenced, organised and categorised in order to arrive at actionable issues. --
Author : Nigel Boardman
Publisher : Unknown
Page : 399 pages
File Size : 50,9 Mb
Release : 2006
Category : Investment banking
ISBN : 1905121032
A guide to the changes affecting corporate finance regulation with an emphasis on the investment banking sector. Written by a team of leading practitioners, it provides insight into the implications of the regulatory environment for a range of corporate finance activities. It is suitable for lawyers, accountants, and corporate finance personnel.
Author : Michael Raffan
Publisher : Unknown
Page : 403 pages
File Size : 52,5 Mb
Release : 2003
Category : Banking law
ISBN : 189883069X
Author : Nigel Boardman,John Crosthwait
Publisher : Unknown
Page : 427 pages
File Size : 54,7 Mb
Release : 2002
Category : Investment banking
ISBN : 189883055X
The investment banking industry is increasingly broad-based and covers many corporate finance activities such as debt and equity financings, leveraged buy-outs and mergers and acquisitions. With the Financial Services Authority's regime now underway, it remains essential that practitioners and others continue to have a proper understanding of the regulation and legislation underpinning the implementation of these activities - as well as an awareness of the regulation defining categories of customer, financial promotion, market abuse, misleading statements and practices. This book is written by a team of experts covering the range of corporate finance and advisory activities.
Author : Paul Fontes,Elizabeth Graves,Susan Mayne
Publisher : Bloomsbury Publishing
Page : 482 pages
File Size : 44,5 Mb
Release : 2019-02-19
Category : Law
ISBN : 9781526504210
The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.
Author : Richard Barfield
Publisher : Sweet & Maxwell
Page : 532 pages
File Size : 45,5 Mb
Release : 2011
Category : Asset-liability management
ISBN : 0414045386
This edited volume covers the revised Basel Accord framework due to be introduced by 2012 in the wake of the global financial crisis. The new measures are designed to update and strengthen the resilience of the international banking sector, and this book will cover in depth what the new measures mean in practice.
Author : Anonim
Publisher : Thomas Reuters
Page : 723 pages
File Size : 47,6 Mb
Release : 2009-01-01
Category : Corporations
ISBN : 1905121342
A comprehensive guide to the private equity and venture capital industry. It is suitable for investment professionals, fund managers, lawyers, accountants, bankers and those working within private equity.
Author : Freshfields Bruckhaus Deringer
Publisher : Unknown
Page : 436 pages
File Size : 43,8 Mb
Release : 2006
Category : Banking law
ISBN : 1905121075
This text covers 17 directives impacting on financial services, including regulation of credit institutions, regulation of investment firms and the wholesale markets, regulation of retail markets, regulation of insurance companies, and prudential rules and supervision.
Author : Danny Busch,Guido Ferrarini
Publisher : Oxford Eu Financial Regulation
Page : 0 pages
File Size : 52,6 Mb
Release : 2017
Category : Law
ISBN : 0198767676
PART I: GENERAL ASPECTS 1: Introduction, Danny Busch and Guido Ferrarini PART II: INVESTMENT FIRMS AND INVESTMENT SERVICES 2: The Scope of MiFID II, Kitty Lieverse 3: Governance of Investment Firms under MiFID II, Jens-Hinrich Binder 4: The Overarching Duty to Act in the Best Interest of the Client in MiFID II, Luca Enriques and Matteo Gargantini 5: Product Governance and Product Intervention, Danny Busch 6: Independent Financial Advice, Paolo Giudici 7: Conflicts of Interest, Stefan Grundmann and Philipp Hacker 8: Inducements, Larissa Silverentand, Jasha Sprecher, and Lisette Simons 9: Agency and Principal Dealing Under MiFID, Danny Busch 10: MiFID II/MiFIR's Regime for Third-Country Firms, Danny Busch & Marije Louisse PART III: TRADING 11: TGovernance and Organization of Trading Venues: The Role of Financial Market Infrastructures Groups, Guido Ferrarini & Paolo Saguato 12: EU Financial Governance and Transparency Regulation: A Test for the Effectiveness of Post-Crisis Administrative Governance, Niamh Moloney 13: SME Growth Markets, Carmine di Noia & Rudiger Veil 14: Dark Trading Under MiFID II, Peter Gomber & Ilya Gvozdevskiy 15: Derivatives: Trading, Clearing, STP, Indirect Clearing, and Portfolio Compression, Rezah Stegeman & Aron Berket 16: Commodity Derivatives, Antonella Sciarrone Alibrandi & Edoardo Grossule 17: Algorithmic Trading and High Frequency Trading, Pierre-Henri Conac 18: An American perspective, Merritt Fox PART IV: SUPERVISION AND ENFORCEMENT 19: Public Enforcement of MiFID II, Christos Gortsos 20: The Private Law Effect of MiFID: the Genil Case and Beyond, Danny Busch PART V: THE BROADER VIEW AND THE FUTURE OF MIFID 21: MiFID II: Picking up the Crumbs of a Piecemeal Approach, Veerle Colaert 22: Shadow Banking and the Functioning of Financial Markets, Eddy Wymeersch 23: Investment-based Crowdfunding: Is MiFID II enough?, Guido Ferrarini & Eugenia Macchiavello.
Author : Charles Rix
Publisher : Unknown
Page : 350 pages
File Size : 51,6 Mb
Release : 2014-08-21
Category : Financial services industry
ISBN : 041402835X
This fully revised title examines the UK and European regulatory regimes and their impact on the insurance industry, providing practical advice for compliance officers and professional advisers. It covers all aspects of the life and non-life insurance industries, from establishment, authorisation and ownership to conduct of business and financial supervision. There is also coverage of reinsurance and friendly societies
Author : Martin Terrell,Caroline Bielanska,Justin Holmes,Richard Frimston
Publisher : Bloomsbury Publishing
Page : 583 pages
File Size : 43,7 Mb
Release : 2018-05-11
Category : Law
ISBN : 9781526503688
Navigate the extensive jurisdiction and powers of the Court of Protection. The Court of Protection affects an ever increasing number of people, among whom are some of the most vulnerable members of society. They need the best support and protection that the law and legal profession can provide. A Practitioner's Guide to the Court of Protection is written by practitioners whose individual and combined experience provide an invaluable guide to the law and practical application. The new Fourth Edition covers both the property and affairs and the welfare parts of the Court's jurisdiction, with new and expanded chapters covering: - The Court of Protection Rules 2017 - Case management pathways - Welfare and Deprivation of Liberty - Private international law - The practical application of the Mental Capacity Act 2005 - Lasting and Enduring Powers of Attorney - Case law, practice and procedure of the Court of Protection - Latest guidance and practice notes from the Office of the Public Guardian It is essential reading for anyone involved in Court of Protection practice including private client practitioners, mental health practitioners, family law practitioners, deputies, local authorities, accountants, Independent Mental Capacity Advocates, Welfare Accredited Legal Representatives, and advocates.
