Regulation of International Finance
Sweet & Maxwell (Verlag)
978-0-414-04473-9 (ISBN)
Part of the Law and Practice of International Finance series, this essential reference provides an in-depth analysis of the substantive areas affecting the regulation of international finance, from authorisation of banks and investment firms to capital adequacy.
This volume: - Sets the scene with a clear examination of the history, principles and policies of financial regulation - Contains a large number of snapshot surveys of regulatory regimes, arranged by country so you can gain an overview of the relevant legislation - Reviews the regulation of banks, investment firms, broker dealers, investment managers and advisers - Covers the regulation of exchanges - Deals with the conduct of business by financial firms, including conflicts of interest and client assets - Includes coverage of the regulation of prospectuses, prospectus liability and due diligence - Surveys collective investment schemes and hedge funds so you know what to do in these developing areas - Deals with market manipulation, insider dealing and other market abuse so you can help your clients avoid, detect and resolve issues in these areas - Surveys financial supervision and capital adequacy giving you an overview of how these work and are assessed - Provides commentaries on relevant documentation so you'll be able to draft the documents you need with ease
Part 1: Introductory survey; 1 Introduction; 2 Scope and policies of financial regulation; 3 Historical background; 4 Comparison of regulatory regimes; Part 2: Country summaries; 5 Country summaries: United Kingdom; 6 Country summaries: United States; 7 Summary: European Union Directives; 8 Other country summaries; Part 3: Classes of business; 9 Authorisation of banks and securities firms; 10 Banks; 11 Securities firms; 12 Exchanges, listing and settlement systems; 13 Collective investment schemes; Part 4: Conduct of business; 14 Conduct of business; 15 Conflicts of interest; 16 Client assets, custodianship and trusts; Part 5: Prospectuses; 17 Prospectus requirements; 18 Prospectus liability: misrepresentation and non-disclosure; 19 Prospectuses: due diligence and prospectus contents; Part 6: Market abuse and frauds; 20 Market abuse; 21 Insider dealing; Part 7: Other topics; 22 Sanctions, enforcement and private claims; 23 Regulator liability; 24 Financial supervision and capital adequacy; 25 Insolvency of
| Erscheint lt. Verlag | 19.7.2019 |
|---|---|
| Verlagsort | London |
| Sprache | englisch |
| Themenwelt | Recht / Steuern ► Allgemeines / Lexika |
| Recht / Steuern ► EU / Internationales Recht | |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| ISBN-10 | 0-414-04473-8 / 0414044738 |
| ISBN-13 | 978-0-414-04473-9 / 9780414044739 |
| Zustand | Neuware |
| Informationen gemäß Produktsicherheitsverordnung (GPSR) | |
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