Download or read book Conflicts of Interest and Chinese Walls written by Chizu Nakajima and published by . This book was released on 2002 with total page 270 pages. Available in PDF, EPUB and Kindle. Book excerpt: (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.
Download or read book Conflicts of Interest Chinese Walls written by Charles Hollander and published by . This book was released on 2004 with total page 350 pages. Available in PDF, EPUB and Kindle. Book excerpt: The 20th edition of what aims to be the leading reference on road traffic offences covers changes such as the impact of the Powers of Criminal Courts (Sentencing) Act 2000, the Human Rights Act 1998; new breath-testing devices; and the new Magistrates' Court Sentencing Guidelines
Download or read book Financial Conglomerates and the Chinese Wall written by Harry McVea and published by . This book was released on with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examines how regulators ensure that the growing number of conglomerates are regulated sufficiently strongly to eradicate systemic risks and conflict of interest abuses, yet are flexible enough to allow the benefits of conglomeration to be secured. It looks particularly at the Chinese wall.
Download or read book Conflict of Interest written by and published by . This book was released on 2004 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Takeovers in English and German Law written by Jennifer Payne and published by Hart Publishing. This book was released on 2002-11-06 with total page 194 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book examines the law with regard to takeovers in England and Germany and the issues arising from cross-border mergers between them.
Download or read book Toolkit written by and published by World Bank Publications. This book was released on 2001 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt: Increasingly governments worldwide are turning to the private sector to assist them in meeting their countries' infrastructure needs. The toolkit will assist governments in hiring and managing economic consultants, financial advisors and legal experts, as well as other specialists required to increase the role of the private sector in all infrastructure services. The boxed Toolkit, funded by the Public-Private Infrastructure Advisory Facility (PPIAF) and designed by the World Bank's Private Sector Advisory Services Department, includes a CD-ROM self-guided tour of the material, an Executive Summary for senior officials, and 3 volumes which contain detailed information on the following subjects: Volume 1: What is PPI and how can advisors help? - Module 1: Principles of selection for advisory services to support PPI - Module 2: Identifying the stages of PPI - Module 3: The role of advisors - Module 4: Defining the project and the contract - Module 5: Use of advisors for small-scale projects Volume 2: Donor agencies and the funding of PPI advisory services - Module 6: Funding agency requirements Volume 3: How to select and manage PPI advisors - Module 7: Selecting advisors - Module 8: Paying advisors for their advice - Module 9: Managing the PPI advisory services
Download or read book Trusts Law written by Graham Moffat and published by Cambridge University Press. This book was released on 2005-09-29 with total page 1110 pages. Available in PDF, EPUB and Kindle. Book excerpt: With its unique contextual emphasis and authoritative commentary, Trusts Law: Text and Materials is a book that no serious undergraduate on trust law courses can afford to be without. The book is divided into four main parts: trusts and the preservation of family wealth; trusts and family breakdown; trusts and commerce; and trusts and non-profit activity. Within each of these parts, leading cases, statutes, and historical and research materials are placed alongside the narrative of the author's text to give emphasis both to general theories of trust concepts and to the practical operation of trusts. Attention is also given to important themes such as the developing relationship between trusts law and other areas of private law such as the Law of Restitution. This new edition takes account of all relevant judicial and legislative developments since the third edition, and expands discussion of key themes in current developments of the law.
Download or read book Lender Liability written by James O'Donovan and published by Sweet & Maxwell. This book was released on 2005 with total page 776 pages. Available in PDF, EPUB and Kindle. Book excerpt: Addresses the liability and risk issues that arise at each successive stage of the relationship between lenders and borrowers or guarantors. This work adopts a practical, transaction-based approach, examining the different stages of the relationship in turn and the legal issues that arise along the way. It also gives guidance on breach of loans.
Download or read book A Practitioner s Guide to Conflicts of Interest in the Financial Services Industry written by Dick Frase and published by Sweet & Maxwell. This book was released on 2012 with total page 365 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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
Download or read book Investment Management Law and Regulation written by Harvey E. Bines and published by Wolters Kluwer. This book was released on 2004-01-01 with total page 968 pages. Available in PDF, EPUB and Kindle. Book excerpt: In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area
Download or read book Conflicts of Interest written by Luc Thévenoz and published by Kluwer Law International B.V.. This book was released on 2007-01-01 with total page 422 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of interest arise naturally in all walks of life, particularly in business life. As general and indeed inevitable phenomena, conflicts of interest should not be prohibited but properly managed. This book presents indepth analysis of such management in three areas of corporate governance where the conflict-of-interest problems are particularly acute: executive compensation, financial analysis, and asset management. ""Conflicts of Interest"" presents the results of a two-year-long research project bringing together academics and practitioners in both law and finance from Europe and the.
Download or read book The Ethics of Conflicts of Interest in Business written by Alonso Villarán and published by Rowman & Littlefield. This book was released on 2021-09-21 with total page 177 pages. Available in PDF, EPUB and Kindle. Book excerpt: Alongside other moral dilemmas and corporate social responsibility related issues, conflicts of interest are one of the most common challenges faced in the workplace. To date, there is no book devoted to examining the ethics behind conflicts of interest in the context of business. This book aims to rectify that, focusing on the foundations of moral philosophy which informs our understanding of ethics. Through his clear writing and use of vignettes, the author shows how ethics can be used to identify and manage conflicts of interest in the business world. The book offers original insights on this topic, moving the scholarly debate forward in conflicts of interest, while also offering a clear guide to the ethics of conflicts of interest in business which will become essential reading for students at all levels studying business ethics.
Download or read book Serving Two Masters written by Janine Griffiths-Baker and published by Hart Publishing. This book was released on 2002-12-05 with total page 227 pages. Available in PDF, EPUB and Kindle. Book excerpt: Based on interviews with lawyers and their clients, this book considers how conflicts of interest are handled within law firms.
Download or read book Conflicts of Interest Chinese Walls written by Charles Hollander and published by . This book was released on 2000 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt: The landmark decision of the House of Lords on conflicts of interest in Bolkiah v KPMG, closely followed by the very different conflict considered in the Pinochet case have sparked off massive interest and a series of judicial decisions in this area of the law. In consequence, professionals are under increasing pressure to examine their strategies for dealing with conflicts of interest and managing client confidentiality. Each professional sector is examined in detail and advice is offered on strategies for assessing and managing conflict situations. The authors offer answers to questions such as: what is a conflict and when does it arise? What are the consequences of acting despite a conflict? How do Chinese Walls operate and when are they permissible? What are the remedies for a client when his adviser acts for the other side?
Download or read book An Introduction to the Law on Financial Investment written by Iain G MacNeil and published by Bloomsbury Publishing. This book was released on 2012-01-20 with total page 542 pages. Available in PDF, EPUB and Kindle. Book excerpt: Since the publication of the first edition of this book in 2005, the world of financial investment has experienced an unprecedented boom followed by a spectacular bust. Significant changes have been proposed and in some cases implemented in areas such as the structure of regulation, the organisation of markets, supervision of market participants and the protection of consumers. The second edition takes account of these developments, integrating them into an analytical framework that enables the reader to develop a critical overview of the role of general legal rules and specialised systems of regulation in financial investment. The framework focuses on the role of contract, trusts and regulation as the primary legal influences for financial investment. The first part explores the relationship between investment, law and regulation. The second part examines the nature of investments and investors, both professional and private. The third part discusses the central role of corporate finance and corporate governance in linking investors with enterprises that require external capital. The fourth part examines the nature, operation and regulation of markets and the participants that support the functioning of the markets. The objective remains to provide a broadly-based and critical account of the role of law in financial investment. "MacNeil's eloquent and informative distillation of the regulatory fundamentals of investment law gives his book much international relevance...a timely contribution to help readers decipher the seemingly inextricable maze of financial regulation...Practitioners and legal policy advisers will..welcome it. They should find enlightening the book's careful scrutiny of the trust and contractual foundations of investment law and practice." Benjamin J Richardson Journal of International Banking Law and Regulation, Vol 22 Issue 1, 2007 ...a fascinating and informative book...thoroughly recommended as a learned but at the same time very readable introduction to the law of financial investment Gerard McCormack Banking and Finance Law Review, Volume 21 No 2, June 2006 ...very informative tool that introduces in a very friendly and accessible manner the nearly inextricable world of financial investment laws. Fadi Moghaizel International Company and Commercial Law Review, Vol. 17 No 2, February 2006
Download or read book Market Abuse and Insider Dealing written by Barry Rider and published by Bloomsbury Publishing. This book was released on 2022-10-28 with total page 614 pages. Available in PDF, EPUB and Kindle. Book excerpt: Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness. With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be classified as market abuse is becoming increasingly fine. This raises questions about communications between financial institutions and investors, and about corporate and analyst access. Market Abuse and Insider Dealing provides guidance on and explanation of the range of potential legal and regulatory responses to this complex area of law. Providing a thorough analysis and assessment of the law relating to market abuse and insider dealing, the new fourth edition includes: - analysis of the impact of Brexit - significant new case law and legislation including MiFID II; Money Laundering Regulations 2017; the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; Criminal Finances Act 2017 with Unexplained Wealth Orders; The Fifth Money Laundering Directive - the new Corporate Governance Code - new content on: control and senior managers' responsibility/liability; the FCAs competition law jurisdiction where it is appropriate to do so in relation to market abuse; a new table of UK decided market abuse cases This title is included in Bloomsbury Professional's Banking and Finance Law online service.
Download or read book Essential Strategies for Financial Services Compliance written by Annie Mills and published by John Wiley & Sons. This book was released on 2015-10-08 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt: A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
