A Practitioners Guide To The Fsa Regulation Of Investment Banking PDF Download
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Author | : Nigel Boardman |
Publisher | : |
Total Pages | : 399 |
Release | : 2006 |
Genre | : Investment banking |
ISBN | : 9781905121038 |
Download A Practitioner's Guide to the FSA Regulation of Investment Banking Book in PDF, ePub and Kindle
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 | : Nigel Boardman |
Publisher | : |
Total Pages | : 427 |
Release | : 2002 |
Genre | : Investment banking |
ISBN | : 9781898830559 |
Download A Practitioner's Guide to the FSA Regulation of Investment Banking Book in PDF, ePub and Kindle
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 | : |
Publisher | : |
Total Pages | : 486 |
Release | : 2006 |
Genre | : Banking law |
ISBN | : 9781905121045 |
Download A Practitioner's Guide to the FSA Regulation of Banking Book in PDF, ePub and Kindle
Offers practical advice on complying with FSA regime. This book examines, amongst other areas, credit risk, liquidity risk and operational risk, as well as providing commentary on the authorisation and supervision process.
Author | : Tim Cornick |
Publisher | : |
Total Pages | : 284 |
Release | : 2004 |
Genre | : Financial services industry |
ISBN | : 9781898830887 |
Download A Practitioner's Guide to the FSA Regulation of Designated Investment Business Book in PDF, ePub and Kindle
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.
Author | : |
Publisher | : |
Total Pages | : 301 |
Release | : 2008 |
Genre | : Financial services industry |
ISBN | : 9781905121267 |
Download A Practitioner's Guide to the FSA Regulation of Designated Investment Business Book in PDF, ePub and Kindle
Author | : Dick Frase |
Publisher | : Sweet & Maxwell |
Total Pages | : 365 |
Release | : 2012 |
Genre | : Business & Economics |
ISBN | : 0414049411 |
Download A Practitioner's Guide to Conflicts of Interest in the Financial Services Industry Book in PDF, ePub and Kindle
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
Author | : |
Publisher | : |
Total Pages | : 322 |
Release | : 2004-12-31 |
Genre | : Insurance |
ISBN | : 9781898830870 |
Download A Practitioner's Guide to the FSA Regulation of Lloyd's Book in PDF, ePub and Kindle
This title should provide useful for anyone involved in the Lloyd's market because it explains the FSA's role and the practical implications and experiences to date in dealing with the two-tier regulatory regime: the FSA and Lloyd's.
Author | : |
Publisher | : Sweet & Maxwell |
Total Pages | : 478 |
Release | : 2012-06 |
Genre | : Business & Economics |
ISBN | : 0414024389 |
Download A Practitioner's Guide to the Financial Services Authority Listing Regime, 2012/2013 Book in PDF, ePub and Kindle
Author | : Rüdiger Veil |
Publisher | : Bloomsbury Publishing |
Total Pages | : 849 |
Release | : 2017-04-06 |
Genre | : Law |
ISBN | : 1782256539 |
Download European Capital Markets Law Book in PDF, ePub and Kindle
European capital markets law has developed rapidly in recent years. The former directives have been replaced by regulations and numerous implementing legal acts aimed at ensuring a level playing field across the EU. The financial crisis has given further impetus to the development of a European supervisory structure. This book systematises the European law and examines the underlying concepts from a broadly interdisciplinary perspective. National experiences in selected Member States – Austria, France, Germany, Italy, Spain, Sweden and the United Kingdom – are also explored. The first chapter deals with the foundations of capital markets law in Europe, the second explains the basics, and the third examines the regime on market abuse. Chapter four explores the disclosure system and chapter five the roles of intermediaries, such as financial analysts, rating agencies and proxy advisers. Short selling and high frequency trading is described in chapter six. Chapter seven deals with financial services and chapter eight explains compliance and corporate governance in investment firms. Chapter nine illustrates the regulation of benchmarks. Finally, chapter ten deals with public takeovers. Throughout the book emphasis is placed on legal practice, and frequent reference is made to the key decisions of supervisory authorities and courts.
Author | : Victoria Stace |
Publisher | : |
Total Pages | : |
Release | : 2014 |
Genre | : Securities |
ISBN | : 9781927248515 |
Download Financial Markets Conduct Regulation Book in PDF, ePub and Kindle