Download or read book A Practitioner s Guide to the Regulation of Investment Banking written by Simon Gleeson and published by . This book was released on 2013-11-12 with total page 465 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book A Practitioner s Guide to the FSA Regulation of Investment Banking written by Nigel Boardman and published by . This book was released on 2006 with total page 399 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book A Practitioner s Guide to the FSA Regulation of Investment Banking written by Nigel Boardman and published by . This book was released on 2002 with total page 427 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Fundamentals of Investment written by Brian O'Loughlin and published by Routledge. This book was released on 2019-05-20 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Securities Underwriting written by and published by . This book was released on 1985 with total page 710 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Middle Market M A written by Kenneth H. Marks and published by John Wiley & Sons. This book was released on 2012-01-10 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt: In-depth coverage in a single handbook of the middle market based on the body of knowledge of the Certified M&A Advisor credential program M&A advisors have an unprecedented opportunity in the middle market with the generational transfer of wealth and capital being deployed by private equity and corporate investors. Middle Market M&A: Handbook for Investment Banking and Business Consulting is a must-read for investment bankers, M&A intermediaries and specialists, CPAs and accountants, valuation experts, deal and transaction attorneys, wealth managers and investors, corporate development leaders, consultants and advisors, CEOs, and CFOs. Provides a holistic overview and guide on mergers, acquisitions, divestitures and strategic transactions of companies with revenues from $5 million to $500 million Encompasses current market trends, activities, and strategies covering pre, during, and post transaction Addresses the processes and core subject areas required to successfully navigate and close deals in the private capital market Includes content on engagement and practice management for those involved in the M&A business This practical guide and reference is also an excellent primer for those seeking to obtain their FINRA Series 79 license.

Download or read book A Practitioner s Guide to the FSA Regulation of Designated Investment Business written by Tim Cornick and published by . This book was released on 2004 with total page 284 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Archbold 2011 written by James Richardson, Jr. and published by . This book was released on 2010-11-18 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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

Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Download or read book A Practitioner s Guide to Banking Regulation written by and published by . This book was released on 2016-11-30 with total page 450 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book A Practitioner s Guide to the FSA Regulation of Designated Investment Business written by and published by . This book was released on 2008 with total page 301 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book A Practitioner s Guide to EU Financial Services Directives written by Freshfields Bruckhaus Deringer and published by . This book was released on 2006 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: This text covers 17 directives impacting on financial services, including regulation of credit institutions, regulation of investment firms and the wholesale markets, regulation of retail markets, regulation of insurance companies, and prudential rules and supervision.

Download or read book Legal Data for Banking written by Akber Datoo and published by John Wiley & Sons. This book was released on 2019-06-17 with total page 307 pages. Available in PDF, EPUB and Kindle. Book excerpt: A practical, informative guide to banks’ major weakness Legal Data for Banking defines the legal data domain in the context of financial institutions, and describes how banks can leverage these assets to optimise business lines and effectively manage risk. Legal data is at the heart of post-2009 regulatory reform, and practitioners need to deepen their grasp of legal data management in order to remain compliant with new rules focusing on transparency in trade and risk reporting. This book provides essential information for IT, project management and data governance leaders, with detailed discussion of current and best practices. Many banks are experiencing recurrent pain points related to legal data management issues, so clear explanations of the required processes, systems and strategic governance provide immediately-relevant relief. The recent financial crisis following the collapse of major banks had roots in poor risk data management, and the regulators’ unawareness of accumulated systemic risk stemming from contractual obligations between firms. To avoid repeating history, today’s banks must be proactive in legal data management; this book provides the critical knowledge practitioners need to put the necessary systems and practices in place. Learn how current legal data management practices are hurting banks Understand the systems, structures and strategies required to manage risk and optimise business lines Delve into the regulations surrounding risk aggregation, netting, collateral enforceability and more Gain practical insight on legal data technology, systems and migration The legal contracts between firms contain significant obligations that underpin the financial markets; failing to recognise these terms as valuable data assets means increased risk exposure and untapped business lines. Legal Data for Banking provides critical information for the banking industry, with actionable guidance for implementation.

Download or read book Capital Markets Law and Compliance written by Paul Nelson and published by Cambridge University Press. This book was released on 2008-01-10 with total page 19 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Markets in Financial Instruments Directive (MiFID) is a detailed re-writing of the regulation of capital markets. To the extent those rules permit, the Financial Services Authority (FSA) is also introducing high-level 'principles-based regulation'. In response to this, Paul Nelson presents practical guidance on the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management. All laws and rules relevant to the regulation of the capital markets are explained and put into context within the economic operation of markets, institutions and products, the European Single Market, the FSA's policies and objectives, the historical evolution of the regulations and the general civil and criminal law. Drawing on 30 years' experience as a practitioner, and referring to a vast range of supporting materials, the author provides an insightful analysis and critique of the rules, the rule makers and the institutions.

Download or read book Eversheds Sutherland The Employment Practitioner s Guide to Financial Institutions written by Paul Fontes and published by Bloomsbury Publishing. This book was released on 2019-02-19 with total page 517 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.

Download or read book The Practitioner s Guide to the Sarbanes Oxley Act written by John J. Huber and published by American Bar Association. This book was released on 2004 with total page 446 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by Aspen Publishers. This book was released on 2006 with total page 1575 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fourth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives