Fiduciary Duties Of Investment Intermediaries
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Fiduciary Duties Of Investment Intermediaries
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Author :
language : en
Publisher: Stationery Office/Tso
Release Date : 2014-07-02
Fiduciary Duties Of Investment Intermediaries written by and has been published by Stationery Office/Tso this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-07-02 with Law categories.
A TSO version of a title previously published by HM Government.
Law Commission Fiduciary Duties Of Investment Intermediaries A Consultation Paper Consultation Paper No 215
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Author : Great Britain: Law Commission
language : en
Publisher: The Stationery Office
Release Date : 2013-10-28
Law Commission Fiduciary Duties Of Investment Intermediaries A Consultation Paper Consultation Paper No 215 written by Great Britain: Law Commission and has been published by The Stationery Office this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-10-28 with Business & Economics categories.
The consultation paper Fiduciary Duties of Investments Intermediaries: A Consultation Paper follows on from the Kay Report on UK Equity Markets and Long Term Decision Making (see below), and uses pensions as the example, tracing a chain of intermediaries from the prospective pensioner/saver to the registered shareholder of a UK company. There are well established duties on pension trustees to act in the best interests of scheme members, and it looks at how far these duties require trustees to maximize financial return over a short time scale, and how far trustees can consider other factors such as environmental and social impact. The consultation asks: Whether the law is right to allow trustees to consider ethical issues only in limited circumstances? Whether the legal obligations on trustees are conducive to investment strategies in the best interests of the ultimate beneficiaries? and if not, what specifically ne
Fiduciary Duties Of Investment Intermediaries
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Author : Great Britain. Law Commission
language : en
Publisher:
Release Date : 2014
Fiduciary Duties Of Investment Intermediaries written by Great Britain. Law Commission and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014 with Financial services industry categories.
Conflicts Of Interest And Chinese Walls
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Author : Chizu Nakajima
language : en
Publisher:
Release Date : 2002
Conflicts Of Interest And Chinese Walls written by Chizu Nakajima and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002 with Chinese walls (Communication barriers) categories.
(PART OF BUTTERWORTHS COMPLIANCE SERIES)Conflicts of Interest and Chinese Walls has been designed to bring you thorough yet concise coverage of the law and practice relating to the regulation of conflicts of interest, and in particular the device of Chinese walls.The work takes a practical and relevant approach in its analysis of conflicts of interest affecting financial intermediaries and other professionals operating in the financial services industry, and examines the issues of ensuring international co-ordination and dealing with regulators. The work also deals with the management of conflict, Chinese walls and other in-house procedures, together with a review of the means of addressing and resolving conflict.
Fiduciary Obligations In Business
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Author : Arthur B. Laby
language : en
Publisher:
Release Date : 2021
Fiduciary Obligations In Business written by Arthur B. Laby and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021 with Corporate governance categories.
"Recent years have seen a surge of scholarly interest in the fiduciary relationship. The collapse of Enron in 2001 and WorldCom and 2002 led to an explosion of scholarship on corporate law,1 including scrutiny of the role fiduciary duties might play to enhance governance. The Sarbanes- Oxley Act of 2002 appeared to adopt some underlying logic from fiduciary law, particularly in its emphasis on the personal responsibility of senior corporate officers to certify their firms' financial statements. The 2008 financial crisis further trained the focus of scholars, regulators, lawyers, and courts on the failures of intermediaries, gatekeepers, and others who arguably breached their duties. New fiduciary rules have been proposed and implemented to govern investment intermediaries"--
Intermediaries In Commercial Law
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Author : Paul S Davies
language : en
Publisher: Bloomsbury Publishing
Release Date : 2022-09-08
Intermediaries In Commercial Law written by Paul S Davies and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-09-08 with Law categories.
This book is the first to examine intermediaries in a holistic and systematic manner. The classical model of face-to-face contracting between two individuals is no longer dominant. Instead, deals frequently involve a number of parties, often acting through intermediaries. As a result, it is important to understand the role and power of intermediaries. Intermediaries tend to be considered within discrete silos of the law. But by focussing upon a particular, narrow area of law, lessons are not learned from analogous situations. This book takes a broader approach, and looks across the traditional boundaries of private law in order to gain a proper assessment of the role played by intermediaries. A wide range of jurisdictions and topical issues are discussed in order to illuminate the role intermediaries play in commercial law. For example, the continued growth of electronic commerce requires consideration of the role of websites and other platforms as intermediaries. And developments in artificial intelligence raise the prospect of intermediaries being non-human actors. All these issues are subject to rigorous analysis by the expert contributors to this book.
Fiduciary Obligations In Business
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Author : Arthur B. Laby
language : en
Publisher:
Release Date : 2021-09-09
Fiduciary Obligations In Business written by Arthur B. Laby and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-09-09 with Business & Economics categories.
Leading scholars analyze key issues in fiduciary duties in business―one of the most salient applications of fiduciary law and theory.
Financial Advice And Investor Protection
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Author : Booysen, Sandra
language : en
Publisher: Edward Elgar Publishing
Release Date : 2021-12-07
Financial Advice And Investor Protection written by Booysen, Sandra and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-12-07 with Law categories.
This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection – this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.
Socially Responsible Investment
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Author : Russell Sparkes
language : en
Publisher: John Wiley & Sons
Release Date : 2003-03-14
Socially Responsible Investment written by Russell Sparkes and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003-03-14 with Business & Economics categories.
Over recent years there has been rapid consumer-led growth in investing in socially responsible companies to the extent that it has had an influence on corporate policies. New regulations recognise the public interest by requiring all pension funds to declare their ethical policy. Investors can no longer just consider the financial aspects of a company before investing but also have to consider the complex world of ethical investments. Should the ethical policy take precedence over the financial aspects? Should policies be inclusive or exclusive? What percentage of a company's income has to come from unacceptable sources before the source is excluded? Should any exclusion policy also extend to those involved in selling or transporting goods deemed unacceptable? This is the first book to look at socially responsible investment from the perspective of the institutional investor, who will be led through the complex dilemmas of socially responsible investment with practical examples and advice.
Fiduciary Law
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Author : Tamar Frankel
language : en
Publisher: Oxford University Press
Release Date : 2011
Fiduciary Law written by Tamar Frankel and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Business & Economics categories.
In Fiduciary Law, Tamar Frankel examines the structure, principles, themes, and objectives of fiduciary law. Fiduciaries, which include corporate managers, money managers, lawyers, and physicians among others, are entrusted with money or power. Frankel explains how fiduciary law is designed to offer protection from abuse of this method of safekeeping. She deals with fiduciaries in general, and identifies situations in which fiduciary law falls short of offering protection. Frankel analyzes fiduciary debates, and argues that greater preventive measures are required. She offers guidelines for determining the boundaries and substance of fiduciary law, and discusses how failure to enforce fiduciary law can contribute to failing financial and economic systems. Frankel offers ideas and explanations for the courts, regulators, and legislatures, as well as the fiduciaries and entrustors. She argues for strong legal protection against abuse of entrustment as a means of encouraging fiduciary services in society. Fiduciary Law can help lawyers and policy makers designing the future law and the systems that it protects.