Kapitalmarkt Compliance
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Szesny Kuthe Kapitalmarkt Compliance
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Author : Markus Adick
language : de
Publisher: C.F. Müller GmbH
Release Date : 2018-01-01
Szesny Kuthe Kapitalmarkt Compliance written by Markus Adick and has been published by C.F. Müller GmbH this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-01-01 with categories.
Governance Compliance And Supervision In The Capital Markets
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Author : Sarah Swammy
language : en
Publisher: John Wiley & Sons
Release Date : 2018-04-20
Governance Compliance And Supervision In The Capital Markets written by Sarah Swammy 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 2018-04-20 with Business & Economics categories.
The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.
Hedge Fund Compliance
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Author : Jason A. Scharfman
language : en
Publisher: John Wiley & Sons
Release Date : 2016-11-11
Hedge Fund Compliance written by Jason A. Scharfman 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 2016-11-11 with Business & Economics categories.
The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field. Design and run a hedge fund compliance program Access templates of core compliance documentation and checklists Discover how investors can evaluate and monitor compliance programs Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.
Kapitalmarkt Compliance
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Author : Markus Adick
language : de
Publisher: C.F. Müller GmbH
Release Date : 2013-12-17
Kapitalmarkt Compliance written by Markus Adick and has been published by C.F. Müller GmbH this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-12-17 with Fiction categories.
Die strenge und stetig zunehmende Regulierung des Kapitalmarkts stellt Compliance-Verantwortliche in kapitalmarktorientierten Unternehmen immer wieder vor große Herausforderungen. Das Handbuch bereitet das Kapitalmarktrecht verständlich und praxisgerecht auf und bietet eine Hilfe beim Aufbau bzw. der Effektivierung eines Compliance-Systems im Unternehmen. Der Aufbau folgt dem Adressatenkreis: Emittenten, Banken und Finanzdienstleister. So erhält der Praktiker Zugang zu den für ihn maßgeblichen Themenkreisen. Die Autoren zeigen die enge Verzahnung des materiellen Kapitalmarktrechts mit dem Strafrecht. Fast alle Ge- oder Verbote in den Kapitalmarktgesetzen werden mit einer Geldbuße oder gar Geld- und Freiheitsstrafe geahndet. Die straf- und bußgeldrechtlichen Aspekte des Kapitalmarktrechts werden daher in einem eigenen Teil ausführlich und abschließend erläutert. Das Handbuch verbindet so die kapitalmarktrechtliche Compliance mit der Criminal Compliance.
Private Equity Corporate Governance And The Dynamics Of Capital Market Regulation
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Author : Justin O'Brien
language : en
Publisher: Imperial College Press
Release Date : 2007
Private Equity Corporate Governance And The Dynamics Of Capital Market Regulation written by Justin O'Brien and has been published by Imperial College Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007 with Business & Economics categories.
Global capital markets are in a state of flux. Castigated in the past as OC Barbarians at the GateOCO, private equity providers are once again proclaiming the end of the public corporation. This important book addresses the implications of private equity for the governance of corporations, the capital markets in which they operate and the professionals who provide corporate advisory services. The book evaluates and ranks the precise nature of the risk posed by private equity by situating it within an overarching analysis of the dynamics of financial capitalism. Key issues addressed include: the management of conflicts of interest, fiduciary duties, the role of enforcement, the efficacy of adopting a rules- or principles-based system of regulation, the form and function of compliance, and a detailed examination of how to embed accountability into an integrity system for the financial markets. The book therefore has enormous benefit for industry, regulatory and academic communities alike. Sample Chapter(s). Introduction: The Dynamics of Capital Market Governance (157 KB). Chapter 1: The Conceptual Underpinnings of Australian Securities Regulation (116 KB). Contents: Introduction: The Dynamics of Capital Market Governance (J O''Brien); The Conceptual Underpinnings of Australian Securities Regulation (M Rodgers); Evolving OCyRules of the GameOCO in Corporate Governance Reform (J Hill); Overlapping Fields and Constructed Legalities: The Endogeneity of Law (L B Edelman); The Significance of Relative Autonomy in How Regulation of the Financial Services Sector Evolves (G Gilligan); ASIC v Citigroup: Investment Banks, Conflicts of Interest, and Chinese Walls (P F Hanrahan); Enforcement of Capital Markets Regulation: The United Kingdom and Its International Markets (I MacNeil); Why Auditors Don''t Find Fraud (N M Hodson); Compliance, Ethics and Responsibility: Emergent Governance Strategies in the US and UK (D McBarnet); Professional Norms (D Cocking); Sarbanes-Oxley and the Search for Accountable Corporate Governance (M J Dubnick); Charting an Icarian Flightpath: The Implications of the Qantas Deal Collapse (J O''Brien); Institutions, Integrity Systems and Market Actors (S Miller). Readership: Postgraduate law and business students; also suitable for general informed market (e.g. investment bankers, compliance professionals, providers of corporate advisory services including lawyers, tax advisors and auditors).
Capital Markets Handbook
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Author : John C. Burch
language : en
Publisher: Wolters Kluwer
Release Date : 2005-01-01
Capital Markets Handbook written by John C. Burch and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2005-01-01 with Law categories.
Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as: New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensation Updates on PIPE and Registered Direct Transactions Amendments to Rule 10b-18 governing corporate repurchase of equity securities Online Dutch auction procedures in use for the Google, Inc. IPO United Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bank Amendments to Rule 105 Regulation M concerning short selling in connection with public offerings Currency conversion in settlement of a global offering NASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securities NASD IPO Distribution Manager procedures for filing with NASD Corporate Financing Proposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offering A reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1 And more
An Introduction To Trading In The Financial Markets Global Markets Risk Compliance And Regulation
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Author : R. Tee Williams
language : en
Publisher: Academic Press
Release Date : 2010-02-12
An Introduction To Trading In The Financial Markets Global Markets Risk Compliance And Regulation written by R. Tee Williams and has been published by Academic Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-02-12 with Business & Economics categories.
Succeeding in the financial markets requires a mastery of many disciplines. Mastery begins with understanding the actors, rules, and dynamics, and the ways in which they interact. This volume, the last of a 4-volume series, presents a broad perspective on key subjects such as regulation and compliance, risk and ways to mitigate it, and the directions in which trading markets might evolve. Like its predecessors, it presents alternative versions of the future: will the sell side or buy side come to dominate, for example, and how might new technologies shape global markets? Mastery of the financial markets begins with its authoritative, heavily illustrated presentation. Presents a high-level view of global financial markets, including institutions, instruments, and dynamic interactions Describes the assumptions and expectations of market participants Heavily illustrated so readers can easily understand advanced materials
Equivalence And Substituted Compliance In Financial Markets Law
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Author : Schurger
language : en
Publisher: Oxford University Press, USA
Release Date : 2023-05-30
Equivalence And Substituted Compliance In Financial Markets Law written by Schurger and has been published by Oxford University Press, USA this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-05-30 with Law categories.
Increasingly extraterritorial regulation of states, protectionist tendencies, and the EU's tightening of its foreign trade policy result in a growing legal fragmentation that stands in stark contrast to the reality of global financial markets. This fragmentation can lead to restricted market access and poses significant legal and economic risks. Equivalence and Substituted Compliance in Financial Markets Law champions deference as a viable concept to counteract this development. The book examines the mechanisms of equivalence and substituted compliance in the European Union, Switzerland and the United States from a comparative, economic, and constitutional perspective. Discussing questions of national law, EU law, and world trade law, this book provides an in-depth analysis of equivalence and addresses the question of how to design a global financial architecture in the future. Chapters One and Two provide an overview of the development of mutual recognition within the European Union and current equivalence practices, while Chapters Three and Four examine similar frameworks in Switzerland and the United States respectively. Chapter Five concludes by giving an outlook on the future of global finance architecture and argues for the expansion of deference in international finance.
European Capital Markets Law
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Author : Rüdiger Veil
language : en
Publisher: Bloomsbury Publishing
Release Date : 2022-03-24
European Capital Markets Law written by Rüdiger Veil and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-03-24 with Law categories.
“The richness, clarity and nuances of the structure and methodology followed by the contributors make the book a very valuable tool for students... seeking to obtain a general understanding of the market and how it is regulated.” – Ligia Catherine Arias Barrera, Banking & Finance Law Review The fully updated edition of this user-friendly textbook continues to systematise the European law governing capital markets and examines the underlying concepts from a broadly interdisciplinary perspective. The 3rd edition deals with 3 central developments: the project of the capital markets union; sustainable finance; and the further digitalisation of financial instruments and securities markets. The 1st chapter deals with the foundations of capital markets law in Europe, the 2nd explains the basics, and the 3rd examines the regime on market abuse. Chapter 4 explores the disclosure system and chapter 5 short-selling and high-frequency trading. The role of intermediaries, such as financial analysts, rating agencies, and proxy advisers, is described in chapter 6. Chapter 7 explains compliance and corporate governance in investment firms and chapter 8 illustrates the regulation of benchmarks. Finally, chapter 9 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. This is essential reading for students involved in the study of capital markets law and financial law.
Regulating Corporate Criminal Liability
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Author : Dominik Brodowski
language : en
Publisher: Springer
Release Date : 2014-06-30
Regulating Corporate Criminal Liability written by Dominik Brodowski and has been published by Springer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-06-30 with Law categories.
Corporate Criminal Liability is on the rise worldwide: More and more legal systems now include genuinely criminal sanctioning for legal entities. The various regulatory options available to national criminal justice systems, their implications and their constitutional, economic and psychological parameters are key questions addressed in this volume. Specific emphasis is put on procedural questions relating to corporate criminal liability, on alternative sanctions such as blacklisting of corporations, on common corporate crimes and on questions of transnational criminal justice.