0
Your cart

Your cart is empty

Browse All Departments
Price
  • R100 - R250 (4)
  • R250 - R500 (51)
  • R500+ (582)
  • -
Status
Format
Author / Contributor
Publisher

Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Financial law > Banking law

Banking and Capital Markets 2023 - Legal Practice Course Guides (LPC) (Paperback, Revised edition): University of Law Banking and Capital Markets 2023 - Legal Practice Course Guides (LPC) (Paperback, Revised edition)
University of Law
R1,211 Discovery Miles 12 110 Ships in 9 - 15 working days
The Law of Failure - A Tour Through the Wilds of American Business Insolvency Law (Paperback): Stephen J Lubben The Law of Failure - A Tour Through the Wilds of American Business Insolvency Law (Paperback)
Stephen J Lubben
R993 Discovery Miles 9 930 Ships in 12 - 17 working days

If a broker-dealer liquidates in federal bankruptcy court, why does an insurance company liquidate in state court, and a bank outside of court altogether? Why do some businesses re-organize under state law 'assignments', rather than the more well-known Chapter 11 of the Bankruptcy Code? Why do some laws use the language of bankruptcy but without advancing policy goals of the Bankruptcy Code? In this illuminating work, Stephen J. Lubben tackles these questions and many others related to the collective law of business insolvency in the United States. In the first book of its kind, Lubben notes the broad similarities between the many insolvency systems in the United States while describing the fundamental differences lurking therein. By considering the whole sweep of these laws - running the gamut from Chapter 11 to obscure receivership provisions of the National Bank Act - readers will acquire a fundamental understanding of the 'law of failure'.

Predatory Lending and the Destruction of the African-American Dream (Hardcover): Janis Sarra, Cheryl L. Wade Predatory Lending and the Destruction of the African-American Dream (Hardcover)
Janis Sarra, Cheryl L. Wade
R2,415 Discovery Miles 24 150 Ships in 10 - 15 working days

Since the Great Recession of 2008, the racial wealth gap between black and white Americans has continued to widen. In Predatory Lending and the Destruction of the African-American Dream, Janis Sarra and Cheryl Wade detail the reasons for this failure by analyzing the economic exploitation of African Americans, with a focus on predatory practices in the home mortgage context. They also examine the failure of reform and litigation efforts ostensibly aimed at addressing this form of racial discrimination. This research, augmented by first-hand narratives, provides invaluable insight into the racial wealth gap by vividly illustrating the predation that targets African-American consumers and examining the intentionally obfuscating settlement terms of cases brought by the U.S. Department of Justice, states attorneys, and municipalities. The authors conclude by offering structural, systemic changes to address predatory practices. This important work should be read by anyone seeking to understand racial inequality in the United States.

Regulation and Supervision of the OTC Derivatives Market (Hardcover): Ligia Catherine Arias-Barrera Regulation and Supervision of the OTC Derivatives Market (Hardcover)
Ligia Catherine Arias-Barrera
R3,914 Discovery Miles 39 140 Ships in 12 - 17 working days

The over-the-counter (OTC) derivatives market has captured the attention of regulators after the Global Financial Crisis due to the risk it poses to financial stability. Under the post-crisis regulatory reform the concentration of business, and risks, among a few major players is changed by the concentration of a large portion of transactions in the new market infrastructures, the Central Counterparties (CCPs). This book, for the first time, analyses the regulatory response of the United Kingdom and the United States, the two largest centres of OTC derivatives transactions, and highlights their shortcomings. The book uses a normative risk-based approach to regulation as a methodological lens to analyse the UK regime of CCPs in the OTC derivatives market. It specifically focuses on prudential supervision and conduct of business rules governing OTC derivatives transactions and the move towards enhancing the use of central clearing. The resulting analysis, from a normative risk based approach, suggests that the UK regime for CCPs does not fulfil what would be expected if a coherent risk based approach was taken. Our comments on the Dodd-Frank Act highlight that the incoherent adoption of risk-based approach to regulation affects the effectiveness of the US regime for CCPs. Such a regime does not follow the pace of events of 'innovation risk'; in particular, the foreseeable changes FinTech will bring to the OTCDM and central clearing services. The second inadequacy of the US regime concerns the dual regulatory structure of the CFTC and the SEC, and the inadequate adoption of different and not well-coordinated regulatory strategies. We also analyse the cross-border implications of the US regime for non-US CCPs that provide clearing services to US market participants. Finally, we study the negative effects of the absence of a clearly defined resolution regime for CCPs.

Financial Stability and Prudential Regulation - A Comparative Approach to the UK, US, Canada, Australia and Germany... Financial Stability and Prudential Regulation - A Comparative Approach to the UK, US, Canada, Australia and Germany (Hardcover)
Alison Lui
R4,358 Discovery Miles 43 580 Ships in 12 - 17 working days

Financial stability is one of the key tenets of a central bank's functions. Since the financial crisis of 2007-2009, an area of hot debate is the extent to which the central bank should be involved with prudential regulation. This book examines the macro and micro-prudential regulatory frameworks and systems of the United Kingdom, Australia, the United States, Canada and Germany. Drawing on the regulator frameworks of these regions, this book examines the central banks' roles of crisis management, resolution and prudential regulation. Alison Lui compares the institutional structure of the new 'twin-peaks' model in the UK to the Australian model, and the multi-regulatory US model and the single regulatory Canadian model. The book also discusses the extent the central bank in these countries, as well as the ECB, are involved with financial stability, and argues that the institutional architecture and geographical closeness of the Bank of England and Financial Policy Committee give rise to the fear that the UK central bank may become another single super-regulator, which may provide the Bank of England with too much power. As a multi-regional, comparative study on the importance and effectiveness of prudential regulation, this book will be of great use and interest to students and researchers in finance and bank law, economics and banking.

Perspectives on Financing Innovation (Paperback): James E. Daily, F. Scott Kieff, Arthur E Wilmarth Perspectives on Financing Innovation (Paperback)
James E. Daily, F. Scott Kieff, Arthur E Wilmarth
R1,363 Discovery Miles 13 630 Ships in 12 - 17 working days

Although much has been written about innovation in the past several years, not all parts of the innovation lifecycle have been given the same treatment. This volume focuses on the important first step of arranging financing for innovation before it is made, and explores the feedback effect that innovation can have on finance itself. The book brings together a diverse group of leading scholars in order to address the financing of innovation. The chapters address three key areas, intellectual property, venture capital, and financial engineering in the capital markets, in order to provide fresh and insightful analyses of current and future economic developments in financing innovation. Chapters on intellectual property cover topics including innovation in law-making, orphan business models, and the use of intellectual property to protect financial engineering innovations and developing intellectual property regimes in Brazil, Russia, India, and China. The book also covers the tax treatment of venture capital founders, the treatment of preferred stock by the Delaware Courts, asset-backed lending hedge funds, and corporate governance for small businesses after the Dodd-Frank financial reform bill. The book will be of interest to scholars, practitioners, and students in law, innovation, finance, and business.

Blockchain Regulation and Governance in Europe (Hardcover): Michele Finck Blockchain Regulation and Governance in Europe (Hardcover)
Michele Finck
R3,410 Discovery Miles 34 100 Ships in 10 - 15 working days

In Blockchain Regulation and Governance in Europe, Michele Finck examines the relationship between blockchain technology and EU law and introduces the theme of blockchain governance. The book provides a general introduction to blockchains as both a regulatable and a regulatory technology and outlines the interaction between distributed ledger technology and specific areas of EU law, such as the General Data Protection Regulation. It should be read by anyone interested in EU law, the relationship between law, innovation and technology, and technology governance.

Secured Finance Transactions - Taking Security, Deal Structures and Emerging Markets, Second Edition (Hardcover, 2nd New... Secured Finance Transactions - Taking Security, Deal Structures and Emerging Markets, Second Edition (Hardcover, 2nd New edition)
Dominic RM Griffiths
R4,802 R4,269 Discovery Miles 42 690 Save R533 (11%) Ships in 9 - 15 working days

Secured finance transactions are implemented the world over between companies, banks, funds and individuals. They form, and have formed for centuries, an integral part of the world of corporate finance. Yet there are many complexities that need to be considered and understood, including the intricate juxtaposition of laws, regulations, local custom and precedents governing such transactions; the many forms security interests take, and the varying effect these have on enforcement by the creditor of their rights under such security; the impact of which market the loan or other credit was obtained in on the manner in which security is implemented; and the jurisdictional differences in the laws and regulations applicable to such transactions. Secured Finance Transactions, Second Edition provides the legal practitioner, businessman and banker, student and interested observer, with a practical guide to important legal developments in the field of secured finance. It includes key coverage of: the taking of security interests over key business assets; the application of security in the context of a variety of different transaction types; and the characteristics of secured transactions in core emerging and developing markets. This second edition, with 23 chapters, brings together experts on the topic and expands further on the work in the first edition in covering the types of collateral used as security, the variety of transaction types and geographical coverage in emerging markets. An invaluable manual for those already present or entering into the financing arena, this title is a critical support at a time of unprecedented international lending activity.

Corruption in the Global Era - Causes, Sources and Forms of Manifestation (Hardcover): Lorenzo Pasculli, Nicholas Ryder Corruption in the Global Era - Causes, Sources and Forms of Manifestation (Hardcover)
Lorenzo Pasculli, Nicholas Ryder
R3,920 Discovery Miles 39 200 Ships in 12 - 17 working days

Corruption is a globalising phenomenon. Not only is it rapidly expanding globally but, more significantly, its causes, its means and forms of perpetration and its effects are more and more rooted in the many developments of globalisation. The Panama Papers, the FIFA scandals and the Petrobras case in Brazil are just a few examples of the rapid and alarming globalisation of corrupt practices in recent years. The lack of empirical evidence on corrupt schemes and a still imperfect dialogue between different disciplinary areas and between academic and practitioners hinder our knowledge of corruption as a global phenomenon and slow down the adoption of appropriate policy responses. Corruption in the Global Era seeks to establish an interdisciplinary dialogue between theory and practice and between different disciplines and to provide a better understanding of the multifaceted aspects of corruption as a global phenomenon. This book gathers top experts across various fields of both the academic and the professional world - including criminology, economics, finance, journalism, law, legal ethics and philosophy of law - to analyze the causes and the forms of manifestation of corruption in the global context and in various sectors (sports, health care, finance, the press etc.) from the most disparate perspectives. The theoretical frameworks elaborated by academics are here complemented by precious insider accounts on corruption in different areas, such as banking and finance and the press. The expanding links between corrupt practices and other global crimes, such as money laundering, fraud and human trafficking, are also explored. This book is an important resource to researchers, academics and students in the fields of law, criminology, sociology, economics and ethics, as well as professionals, particularly solicitors, barristers, businessmen and public servants.

Banks & Banking Terms - Financial Education Is Your Best Investment (Paperback): Thomas Herold Banks & Banking Terms - Financial Education Is Your Best Investment (Paperback)
Thomas Herold
R501 R424 Discovery Miles 4 240 Save R77 (15%) Ships in 10 - 15 working days
Special Needs Financial Planning - A Comparative Perspective (Hardcover): Lusina Ho, Rebecca Lee Special Needs Financial Planning - A Comparative Perspective (Hardcover)
Lusina Ho, Rebecca Lee
R2,785 R2,359 Discovery Miles 23 590 Save R426 (15%) Ships in 12 - 17 working days

Countries around the world are facing pressing needs to enhance financial planning mechanisms for individuals with cognitive impairment. The book provides the first comparative study of the three most common of such mechanisms in Asia and the West, namely guardianship, enduring/lasting powers of attorney, and special needs trusts. It involves not only scholarly overviews of the mechanisms in the jurisdictions studied, but also thorough, structured and critical reviews of their operational experiences. This book will have broad appeal to scholars, students, law and policy makers and practitioners in the fields of mental disability, healthcare and elder law. It is widely recognised in the field that books like this one are needed. This book will also be of interest to undergraduate and graduate students in mental health, disability law and elder law.

Market Abuse and Insider Dealing (Hardcover, 4th edition): Barry Rider, Kern Alexander, Stuart Bazley, Jeffrey Bryant Market Abuse and Insider Dealing (Hardcover, 4th edition)
Barry Rider, Kern Alexander, Stuart Bazley, Jeffrey Bryant
R5,169 Discovery Miles 51 690 Ships in 12 - 17 working days

Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness. With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be classified as market abuse is becoming increasingly fine. This raises questions about communications between financial institutions and investors, and about corporate and analyst access. Market Abuse and Insider Dealing provides guidance on and explanation of the range of potential legal and regulatory responses to this complex area of law. Providing a thorough analysis and assessment of the law relating to market abuse and insider dealing, the new fourth edition includes: - analysis of the impact of Brexit - significant new case law and legislation including MiFID II; Money Laundering Regulations 2017; the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; Criminal Finances Act 2017 with Unexplained Wealth Orders; The Fifth Money Laundering Directive - the new Corporate Governance Code - new content on: control and senior managers' responsibility/liability; the FCAs competition law jurisdiction where it is appropriate to do so in relation to market abuse; a new table of UK decided market abuse cases

Emerging Market Bank Lending and Credit Risk Control - Evolving Strategies to Mitigate Credit Risk, Optimize Lending... Emerging Market Bank Lending and Credit Risk Control - Evolving Strategies to Mitigate Credit Risk, Optimize Lending Portfolios, and Check Delinquent Loans (Hardcover)
Leonard Onyiriuba
R1,915 Discovery Miles 19 150 Ships in 12 - 17 working days

Using a framework of volatile markets Emerging Market Bank Lending and Credit Risk Control covers the theoretical and practical foundations of contemporary credit risk with implications for bank management. Drawing a direct connection between risk and its effects on credit analysis and decisions, the book discusses how credit risk should be correctly anticipated and its impact mitigated within framework of sound credit culture and process in line with the Basel Accords. This is the only practical book that specifically guides bankers through the analysis and management of the peculiar credit risks of counterparties in emerging economies. Each chapter features a one-page overview that introduces its subject and its outcomes. Chapters include summaries, review questions, references, and endnotes.

Principles of Banking Regulation (Hardcover): Kern Alexander Principles of Banking Regulation (Hardcover)
Kern Alexander
R2,873 Discovery Miles 28 730 Ships in 10 - 15 working days

An accessible, comprehensive analysis of the main principles and rules of banking regulation in the post-crisis regulatory reform era, this textbook looks at banking regulation from an inter-disciplinary perspective across law, economics, finance, management and policy studies. It provides detailed coverage of the most recent international, European and UK bank regulatory and policy developments, including Basel IV, structural regulation, bank resolution and Brexit, and considers the impact on bank governance, compliance, risk management and strategy.

Algorithms and Law (Paperback): Martin Ebers, Susana Navas Algorithms and Law (Paperback)
Martin Ebers, Susana Navas
R787 Discovery Miles 7 870 Ships in 9 - 15 working days

Algorithms permeate our lives in numerous ways, performing tasks that until recently could only be carried out by humans. Artificial Intelligence (AI) technologies, based on machine learning algorithms and big-data-powered systems, can perform sophisticated tasks such as driving cars, analyzing medical data, and evaluating and executing complex financial transactions - often without active human control or supervision. Algorithms also play an important role in determining retail pricing, online advertising, loan qualification, and airport security. In this work, Martin Ebers and Susana Navas bring together a group of scholars and practitioners from across Europe and the US to analyze how this shift from human actors to computers presents both practical and conceptual challenges for legal and regulatory systems. This book should be read by anyone interested in the intersection between computer science and law, how the law can better regulate algorithmic design, and the legal ramifications for citizens whose behavior is increasingly dictated by algorithms.

Broke, Not Broken - Homer Maxey's Texas Bank War (Hardcover): Broadus Spivey, Jesse Sublett Broke, Not Broken - Homer Maxey's Texas Bank War (Hardcover)
Broadus Spivey, Jesse Sublett
R855 R722 Discovery Miles 7 220 Save R133 (16%) Ships in 10 - 15 working days

Homer Maxey was a war hero, multimillionaire and pillar of the Lubbock, Texas, community. During the post-World War II boom, he filled the West Texas horizon with new apartment complexes, government buildings, hotels, banks, shopping centres and subdivisions. On the afternoon of February 16, 1966, executives of Citizens National Bank of Lubbock met to launch foreclosure proceedings against Maxey. In a secret sale, more than 35,000 acres of ranch land and other holdings were divided up and sold for pennies on the dollar. By closing time, Maxey was penniless. Maxey sued the bank and every member of the board of directors, including long-time friends and business partners. Almost fifteen years, two jury trials and nine separate appeals later, the case was settled on September 22, 1980. Broke, Not Broken, the story of this record-breaking, precedent-setting legal case, illuminates a community and a self-styled go-getter who refused to back down, even when his opponents were old friends, well-heeled leaders of the community, a bank backed by powerful Odessa oil men and the most formidable attorneys in West Texas.

International Bank Crisis Management - A Transatlantic Perspective (Hardcover): Marco Bodellini International Bank Crisis Management - A Transatlantic Perspective (Hardcover)
Marco Bodellini
R3,009 Discovery Miles 30 090 Ships in 9 - 15 working days

This book analyses the legal regimes governing bank crisis management in the EU, UK, and US, discussing the different procedures and tools available as well as the regulatory architecture and the authorities involved. Building on a broad working definition of 'bank crisis management' and referring to several cases, the book explores the techniques and approaches employed by the authorities to deal with troubled banks on both sides of the Atlantic. The legal analysis distinguishes between procedures and tools aimed at liquidating the bank in crisis vis-a-vis those aimed at restructuring. In this regard, attention is paid to the rules allowing for the use of public money in handling banks in trouble as well as to the role that deposit insurance schemes can play. Considerations on the impact on banks of the current crisis provoked by the COVID-19 pandemic are advanced, primarily focusing on the expected surge of non-performing loans as well as on ways to effectively manage these assets. The book approaches these issues from a comparative law perspective, providing law and economics considerations and focusing on strengths and drawbacks of the rules currently in force. The book advances policy considerations as well as reform proposals aiming at enhancing the legal regimes in force, with particular reference to the Consultation promoted in 2021 by the European Commission on the adoption of a new bank crisis management and deposit insurance framework in the Union.

The Foreclosure Echo - How the Hardest Hit Have Been Left Out of the Economic Recovery (Paperback): Linda E. Fisher, Judith Fox The Foreclosure Echo - How the Hardest Hit Have Been Left Out of the Economic Recovery (Paperback)
Linda E. Fisher, Judith Fox
R941 Discovery Miles 9 410 Ships in 12 - 17 working days

The Foreclosure Echo tells the story of the ordinary people whose quest for the American dream was crushed in the foreclosure crisis when they were threatened with losing their homes. The authors, Linda E. Fisher and Judith Fox - each with decades of experience defending low-to-moderate-income people from foreclosure and predatory lending practices - have employed a range of legal, economic, and social-science research to document these stories, showing not only how people experienced the crisis, but also how lenders and public institutions failed to protect them. The book also describes the ongoing effects of the crisis - including vacant land and abandoned buildings - and how these conditions have exacerbated the economic plight of millions of people who lost their homes and have increased inequality across the country. This book should be read by anyone who wants to understand the fallout of the last financial crisis and learn what we can do now to avoid another one.

Money Laundering Compliance (Paperback, 4th edition): Tim Bennett Money Laundering Compliance (Paperback, 4th edition)
Tim Bennett
R5,133 Discovery Miles 51 330 Ships in 12 - 17 working days

What is Money Laundering (‘ML’)? How has the definition of ML expanded in recent years? Where does AML law and regulation come from? When must I report any ‘suspicion’? Money Laundering Compliance is designed as a detailed reference source both on legal and technical details, as well as practical and procedural points. It provides a technical and practical overview of AML/CFT provisions in the UK and other key international jurisdictions including: - Bahamas - Bermuda - Cayman Islands - Guernsey - Isle of Man - Jersey - Singapore - Switzerland - United States The Fourth Edition has been completely revised in line with recent legislation and case law, with other key areas of change including: - The impact of Brexit on the UK’s position vis-a-vis EU Law, and in particular in relation to the EU Money Laundering Directives covering AML/CFT matters - ‘Economic Substance’ requirements in key jurisdictions - A new chapter on FinTech, the host of AML/CFT RegTech websites/Mobile Apps, and the introduction of new methods of CDD verification - A new chapter on crypto assets and regulation - Current sanctions against defined Russian Oligarchs - The general prohibition against the provision of trust and company services to certain ‘Russian-connected’ trusts This essential resource ensures that finance professionals, private bankers, lawyers, trust and estate practitioners, regulators, compliance officers and other advisers remain up to date with this increasingly complex and crucial area of law. This title is included in Bloomsbury Professional's Banking and Finance online service.

European Banking Union (Hardcover): Jens-Hinrich Binder, Christos V. Gortsos, Klaus Lackhoff, Christoph Ohler European Banking Union (Hardcover)
Jens-Hinrich Binder, Christos V. Gortsos, Klaus Lackhoff, Christoph Ohler
R9,581 Discovery Miles 95 810 Ships in 12 - 17 working days

This new commentary analyses, article by article, the two most important regulations on the European banking union: firstly, the Single Supervisory Mechanism with the ECB as the single supervisory authority for major banking institutions; and secondly, the Single Resolution Mechanism with the Single Resolution Fund as the centralized decision-making body in the eurozone.

The Resolution of Sovereign Debt Crises - Instruments, Inefficiencies and Options for the Way Forward (Hardcover): Jeannette... The Resolution of Sovereign Debt Crises - Instruments, Inefficiencies and Options for the Way Forward (Hardcover)
Jeannette Abel
R3,933 Discovery Miles 39 330 Ships in 12 - 17 working days

The insolvency of states is by no means a rare or new phenomenon. Despite this, it still seems to be widely felt that states do not go bankrupt. As of yet, there are no regulated insolvency proceedings for states. This book examines the current mechanisms for solving sovereign debt crises. It presents an analysis of their weaknesses and shows possibilities for dealing with such crises in the future. In this respect, the work focusses on crisis resolution measures at European level: the aid packages for Greece, the European Financial Stabilisation Mechanism, the European Financial Stabilisation Facility and the European Stability Mechanism. These are examined for their appropriateness as well as whether they contain elements of insolvency law. Ultimately, it explores possible insolvency proceedings for states at EU level and their implementation options.

International Investment Dispute Awards - Facilitating Enforcement (Hardcover): Esra Yildiz UEstun International Investment Dispute Awards - Facilitating Enforcement (Hardcover)
Esra Yildiz UEstun
R8,012 Discovery Miles 80 120 Ships in 12 - 17 working days

This book examines how international investment arbitral awards can be facilitated. It sets out to achieve a fuller conceptualisation and theorisation of awards through a discussion of relevant issues and themes, as well as demonstrating how they can be achieved through a comparative approach that has been conceived and developed with reference to existing deficiencies in the research literature. This contribution is particularly important given the worldwide emergence of investment arbitration as a powerful form of alternative dispute resolution (ADR). The book ultimately seeks to explore and develop solutions that can be directed to an existing oversight and deficit within the international investment architecture. In considering the advantages and disadvantages of each 'solution', it will work towards an approach best-suited to upholding the interest of the victorious party at the enforcement stage. The enforcement of arbitral awards on a voluntary basis has proven to be insufficient, and this created a real and ongoing shortcoming that needs to be addressed. International Investment Dispute Awards: Facilitating Enforcement therefore seeks to directly influence existing practice on the part of international institutions, with the intention of helping to develop a more effective resolution. The readerships for this book will include arbitration practitioners, policy-makers (including treaty drafters), academics and postgraduate students interested in the enforcement of investment arbitral awards.

Dealing in Securities: The Law and Regulation of Sales and Trading in Europe (Hardcover): Christos Nifadopoulos Dealing in Securities: The Law and Regulation of Sales and Trading in Europe (Hardcover)
Christos Nifadopoulos
R6,694 Discovery Miles 66 940 Ships in 12 - 17 working days

Begins with the essential questions: - whether brokerage and dealing in securities is regulated in a jurisdiction - what aspects of the activity could bring it in scope for authorisation; and - how it is determined which regulator has legal competence to supervise the business in scope. The recent liberalisation of national authorisation regimes across Europe in the wake of MiFID II and Brexit, which has resulted in tensions with recent attempts by the EU to harmonise centrally the single market authorisation regime, is fully addressed. It reviews the details of the activities of sales, sales trading, trading and execution, what they each constitute (with reference to established communication and order management systems), the potential conflicts of interest that they bring about for a firm and how such conflicts can be managed. Each of these activities are mapped against specific regulatory obligations, such as best execution, pre- and post-trade transparency, inducements, dealing commissions rules, the short selling regime and shareholder disclosures, depicting the obligations schematically to assist the practitioner. Also covers: - dealing commission unbundling, which has reformed the way the provision and consumption of independent research and corporate access are related to execution services, - the question of multilateral trading, in other words the point at which the activity of a broker becomes exchange-like and needs to be authorised as such, - principal trading and the ability of firms to advance risk to their clients in the wake of the Volcker rule in the United States and similar legislation in Germany and elsewhere, - the rise of Systematic Internalisers and the constraints imposed on them, such as the pre-trade transparency requirements and the tick size regime, and - electronic trading, algorithmic trading, direct electronic access and high frequency trading, as well as the risk control framework that is relevant to all these activities.

Financial Services Law Guide (Paperback, 5th edition): Andrew Haynes Financial Services Law Guide (Paperback, 5th edition)
Andrew Haynes
R5,464 Discovery Miles 54 640 Ships in 12 - 17 working days

A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.

Bank of England and Financial Services Act 2016 (c. 14) (Paperback): United Kingdom Legislation Bank of England and Financial Services Act 2016 (c. 14) (Paperback)
United Kingdom Legislation; Adapted by Grangis LLC Uk Publishing
R462 Discovery Miles 4 620 Ships in 10 - 15 working days
Free Delivery
Pinterest Twitter Facebook Google+
You may like...
Commentary on the Bills of Exchange…
Leonard Gering, Douglas G. Tobias Paperback R201 R177 Discovery Miles 1 770
Law and Regulation of Mobile Payment…
Joy Malala Hardcover R3,916 Discovery Miles 39 160
Research Handbook on Shadow Banking…
Iris H-Y Chiu, Iain G. MacNeil Hardcover R6,043 Discovery Miles 60 430
Jopie: Jurist, mentor, supervisor and…
Charl Hugo, Michelle Kelly Louw Hardcover R714 R629 Discovery Miles 6 290
Mobile Payments, Consumer Policy and the…
Nwanneka Ezechukwu Hardcover R3,615 Discovery Miles 36 150
Recognition of Foreign Bank Resolution…
Shuai Guo Hardcover R3,161 Discovery Miles 31 610
Regulating Credit Rating Agencies
Aline Darbellay Hardcover R3,293 Discovery Miles 32 930
Judicial Review in the European Banking…
Chiara Zilioli, Karl-Philipp Wojcik Hardcover R6,114 Discovery Miles 61 140
Payment Services - Law and Practice
John Casanova, Max Savoie Hardcover R4,834 Discovery Miles 48 340
The Payment Services Directive II - A…
Gabriella Gimigliano, Marta Bozina Beros Hardcover R6,377 Discovery Miles 63 770

 

Partners