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A Practitioner's Guide to the Regulation of Investment Banking

A Practitioner's Guide to the Regulation of Investment Banking
Author: Simon Gleeson
Publisher:
Total Pages: 465
Release: 2013-11-12
Genre: Banking law
ISBN: 9780414028135

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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.


A Practitioner's Guide to the FSA Regulation of Investment Banking

A Practitioner's Guide to the FSA Regulation of Investment Banking
Author: Nigel Boardman
Publisher:
Total Pages: 399
Release: 2006
Genre: Investment banking
ISBN: 9781905121038

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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.


A Practitioner's Guide to the FSA Regulation of Investment Banking

A Practitioner's Guide to the FSA Regulation of Investment Banking
Author: Nigel Boardman
Publisher:
Total Pages: 427
Release: 2002
Genre: Investment banking
ISBN: 9781898830559

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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.


Fundamentals of Investment

Fundamentals of Investment
Author: Brian O'Loughlin
Publisher: Routledge
Total Pages: 436
Release: 2019-05-20
Genre: Business & Economics
ISBN: 1351667572

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Post the Financial Crash, the role of regulation and the impact of regulation on all aspects of the financial industry has broadened and intensified. This book offers a comprehensive review of the operations of the industry post-financial crisis from a variety of perspectives. This new edition builds upon the authors’ predecessor book, Fundamentals of Investment: An Irish Perspective. The core of the original text is retained particularly concerning fundamental concepts such as discounted cash flow valuation techniques. Changes in this new text are driven by two important factors. First, the long shadow of the Global Financial Crisis and the ensuing Great Recession continues to impact economies and financial markets. Second, the new text adopts a more international perspective with a focus on the UK and Ireland. The authors present the reader with a clear linkage between investment theory and concepts (the ‘fundamentals’) and the practical application of these concepts to the financial planning and advisory process. This practical perspective is driven by the decades-long fund management and stockbroking experience of the authors. Investment knowledge is a core competence required by large numbers of organisations and individuals in the financial services industry. This new edition will be an invaluable resource for financial advisers, financial planners and those engaged in advisory and/or support functions across the investment industry. Those taking investment modules in third-level educational institutes will find this book to be a useful complement to the more academically focused textbooks.


A Practitioner's Guide to the FSA Regulation of Designated Investment Business

A Practitioner's Guide to the FSA Regulation of Designated Investment Business
Author: Tim Cornick
Publisher:
Total Pages: 284
Release: 2004
Genre: Financial services industry
ISBN: 9781898830887

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The second edition of 'A Practitioner's Guide to the FSA Regulation of Designated Investment Business' deals with the specific issues that are relevant to regulated firms on a daily basis. It analyses the investments that are regulated, considers the impact of the Conduct of Business Rules and looks occupational pension schemes and more.


Securities Underwriting

Securities Underwriting
Author:
Publisher:
Total Pages: 710
Release: 1985
Genre: Securities
ISBN:

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A Practitioner's Guide to the FSA Regulation of Banking

A Practitioner's Guide to the FSA Regulation of Banking
Author: John Tattersall
Publisher:
Total Pages: 377
Release: 2002
Genre: Banking law
ISBN: 9781898830580

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The regulatory environment in which the banking sector operates has been evolving significantly, not onlys a result of the implementation of the Financial Services and Markets Act, but also due to external regulatory developments at both the EU and international level. This new book focuses on the risk-based approach to regulation, which will impact on the way banks are regulated on a day-to-day basis. It examines, amongst other areas, credit risk, liquidity risk and operational risk, as well as providing detailed commentary on authorisation and supervision and the FSA's enforcement regime.


A Practitioner's Guide to Conflicts of Interest in the Financial Services Industry

A Practitioner's Guide to Conflicts of Interest in the Financial Services Industry
Author: Dick Frase
Publisher: Sweet & Maxwell
Total Pages: 365
Release: 2012
Genre: Business & Economics
ISBN: 0414049411

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This title examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry


Archbold 2011

Archbold 2011
Author: James Richardson, Jr.
Publisher:
Total Pages: 0
Release: 2010-11-18
Genre: Criminal procedure
ISBN: 9780414043534

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A Practitioner's Guide to the Regulation of Investment Banking is 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. This new 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. It is written by a team of leading practitioners who are among the best-known advisers in the City