Legal Risk In The Financial Markets
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Legal Risk In The Financial Markets
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Author : Roger McCormick
language : en
Publisher: Oxford University Press, USA
Release Date : 2010-12-09
Legal Risk In The Financial Markets written by Roger McCormick 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 2010-12-09 with Business & Economics categories.
Previous edition, 1st, published in 2006.
Legal And Conduct Risk In The Financial Markets
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Author : Roger McCormick
language : en
Publisher: Oxford University Press, USA
Release Date : 2018
Legal And Conduct Risk In The Financial Markets written by Roger McCormick 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 2018 with Law categories.
This third edition on legal risk has been expanded to include much new material specifically on conduct risk. It has been updated to take into account developments in the law and professional standards concerning such risks and associated values in the context of the financial markets. Significant (and in some cases, endemic) conduct-related scandals, such as the widespread mis-selling of financial products and LIBOR manipulation, exposed by the financial crisis, have resulted in legal and regulatory change in equal measure (and profound effect) to that of the prudential and financial stability concerns captured in the second edition.
Law Bubbles And Financial Regulation
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Author : Erik F. Gerding
language : en
Publisher: Routledge
Release Date : 2013-12-04
Law Bubbles And Financial Regulation written by Erik F. Gerding and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-12-04 with Business & Economics categories.
Financial regulation can fail when it is needed the most. The dynamics of asset price bubbles weaken financial regulation just as financial markets begin to overheat and the risk of crisis spikes. At the same time, the failure of financial regulations adds further fuel to a bubble. This book examines the interaction of bubbles and financial regulation. It explores the ways in which bubbles lead to the failure of financial regulation by outlining five dynamics, which it collectively labels the "Regulatory Instability Hypothesis." . The book concludes by outlining approaches to make financial regulation more resilient to these dynamics that undermine law.
Research Handbook On Global Capital Markets Law
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Author : Iris H.-Y. Chiu
language : en
Publisher: Edward Elgar Publishing
Release Date : 2023-06-01
Research Handbook On Global Capital Markets Law written by Iris H.-Y. Chiu 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 2023-06-01 with Law categories.
This Research Handbook is a one-stop resource on global capital markets and the laws that regulate them. Featuring contributions from leading global experts, the Research Handbook delves into a range of issues including investment products such as equity finance; sustainable finance; fintech; impact investing; and private equity. It also provides analysis on institutional and procedural issues such as large and small companies' capital formation, the roles of institutional shareholders and information providers, and the practices and regulation of financial trading markets.
Capital Markets Derivatives And The Law
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Author : Alan N. Rechtschaffen
language : en
Publisher: Oxford University Press
Release Date : 2009
Capital Markets Derivatives And The Law written by Alan N. Rechtschaffen 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 2009 with Business & Economics categories.
President Obama recently called for a new financial regulation system in the United States. In order to understand the intricacies of new regulation, individuals must have a strong foundation in how capital markets function as well as how financial instruments and derivatives work. Capital Markets, Derivatives, and the Law provides readers with the foundation necessary to make informed, well-reasoned decisions about capital market participation, derivative utilization, and adherence to existing and future regulations. This publication is an essential guide for attorneys and business professionals looking for an accessible resource to better understand the legal and business considerations of capital markets and derivatives transactions. This book offers expert insight into how derivatives work. The author also explores the structures of derivatives as well as how they are regulated and litigated. In the complex world of the current capital market upheaval, this book provides useful definitions, case law examples, and insight into structures, regulation, and litigation strategies.
Integrity Risk And Accountability In Capital Markets
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Author : Justin O'Brien
language : en
Publisher: Bloomsbury Publishing
Release Date : 2013-09-27
Integrity Risk And Accountability In Capital Markets written by Justin O'Brien and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-09-27 with Law categories.
The global economy is yet to recover from the aftershocks of the Global Financial Crisis (GFC). In particular many national economies are struggling to adjust to austerity programs that are a direct result of the toxic effects of the crisis. Governments, regulatory agencies, international organisations, media commentators, finance industry organisations and professionals, academics and affected citizens have offered partial explanations for what has occurred. Some of these actors have sought to introduce legislative and other regulatory initiatives to improve operational standards in capital markets. However, the exposure post-GFC of the scandal surrounding the manipulation over many years of the London Interbank Offered Rate (LIBOR) highlighted that the most important obstacles to counter the destructive potential of our global finance system are normative not technical. Regulating the culture of the finance sector is one of the greatest challenges facing contemporary society. This edited volume brings together leading professionals, regulators and academics with knowledge of how cultural forces shape integrity, risk and accountability in capital markets. The book will be of benefit not only to industry, regulatory and academic communities whose focus is upon financial markets and professionals. It is of value to any person or organisation interested in how the cultural underpinnings of the finance sector shape how capital markets actually operate and are regulated. It is a stark lesson of history that financial crises will occur. As national economies become ever more inter-connected and inter-dependent under conditions of global financial capitalism, it becomes ever more important to know how cultural and other normative forces might be adjusted to militate against the effects of future disasters.
The Law Of Global Custody
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Author : Madeleine Yates
language : en
Publisher: Bloomsbury Professional
Release Date : 2009
The Law Of Global Custody written by Madeleine Yates and has been published by Bloomsbury Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Banks and banking categories.
The Law of Global Custody provides an introduction to, and a detailed analysis of, the law relating to global custody for all those, both new and experienced, wishing to manage legal risk in the field of global custody, cross border securities collateral, and the post trade infrastructure. This third edition has been fully updated to take account of the Markets in Financial Instruments Directive and also includes expanded material on the discussion of the Financial Collateral Directive, including references to the implementation in the UK by Financial Collateral Regulations. Carefully structured and clearly written, with annotations that provide helpful guidance to the reader, the work offers an accessible and authoritative account of this complex area.
Collateral Knowledge
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Author : Annelise Riles
language : en
Publisher: University of Chicago Press
Release Date : 2011-05
Collateral Knowledge written by Annelise Riles and has been published by University of Chicago Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-05 with Business & Economics categories.
Who are the agents of financial regulation? Is good (or bad) financial governance merely the work of legislators and regulators? Here Annelise Riles argues that financial governance is made not just through top-down laws and policies but also through the daily use of mundane legal techniques such as collateral by a variety of secondary agents, from legal technicians and retail investors to financiers and academics and even computerized trading programs. Drawing upon her ten years of ethnographic fieldwork in the Japanese derivatives market, Riles explores the uses of collateral in the financial markets as a regulatory device for stabilizing market transactions. How collateral operates, Riles suggests, is paradigmatic of a class of low-profile, mundane, but indispensable activities and practices that are all too often ignored as we think about how markets should work and be governed. Riles seeks to democratize our understanding of legal techniques, and demonstrate how these day-to-day private actions can be reformed to produce more effective forms of market regulation.
Principles Of Corporate Finance Law
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Author : Eilis Ferran
language : en
Publisher: OUP Oxford
Release Date : 2014-02-20
Principles Of Corporate Finance Law written by Eilis Ferran and has been published by OUP Oxford this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-02-20 with Law categories.
Corporate finance theory seeks to understand how incorporated firms address the financial constraints that affect their investment decisions. This is achieved by using varied financial instruments that give holders different claims on the firm's assets. Recent scholarship in this area explores precisely how legal mechanisms affect corporate finance and the development of financial markets. The legal environment is crucially important in explaining the choices that companies make about their capital structure. This book combines company law, capital market regulation and commercial law to give readers a detailed understanding of the legal and regulatory issues relating to corporate financial transactions. Informed by insights from the theoretical and empirical work of financial economists, the book examines, from a legal perspective, key elements of corporate financing structures and capital markets in the UK. The authors' practical experience of transactions and regulatory issues ensures that thorough scholarly inquiry and critical reflection are complemented by an assured understanding of the interface between legal principles and rules as they are documented and in their actual operation.
Finance Rule Of Law And Development In Asia
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Author : Jiaxing Hu
language : en
Publisher: BRILL
Release Date : 2016-04-26
Finance Rule Of Law And Development In Asia written by Jiaxing Hu and has been published by BRILL this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-04-26 with Business & Economics categories.
The financial markets of Hong Kong and Singapore are leading examples in Asian financial development and regulation. Shanghai, which is developing its Free Trade Pilot Zone, is equally aiming to incorporate a sophisticated service market in order to upgrade, reform and reinvigorate the current economic model of development in China in the aftermath of the global financial and economic crisis. Streamlining administrative regulation is a precondition for its financial market to find root and play a central role in Asia and beyond. Finance, Rule of Law and Development in Asia offers a contextualized approach to the economic and political realities within Asian financial markets, especially in these three different jurisdictions. The volume adopts a comparative and precise account on the prospects and challenges in further developing these financial centres.