Download or read book The Financial Conglomerates and Other Financial Groups Amendment Regulations 2013 written by Great Britain and published by . This book was released on 2013-05-21 with total page 4 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enabling power: European Communities Act 1972, s. 2 (2). Issued: 21.05.2013. Made: 20.05.2013. Laid: 20.05.2013. Coming into force: 10.06.2013. Effect: 2000 c.8 & S.I. 2001/2188; 2004/1862; 2006/3221 amended. Territorial extent & classification: E/W/S/NI. General. EC note: These regulations implement, in part, Directive 2011/89/EU amending Directives 98/78/EC, 2002/87/EC, 2006/87/EC, 2006/48/EC and 2009/138/EC regards supplementary supervision of financial entitles in a financial conglomerate

Download or read book The Financial Conglomerates and Other Financial Groups Amendment Etc EU Exit Regulations 2019 written by GREAT BRITAIN. and published by . This book was released on 2019-01-23 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enabling power: European Union (Withdrawal) Act 2018, s. 8 (1). Issued: 23.01.2019. Sifted: -. Made: -. Laid: -. Coming into force: In accord. with reg. 1. Effect: S.I. 2004/1862; 2013/3115 amended. Territorial extent & classification: E/W/S/NI. For approval by resolution of each House of Parliament. EC note: Part 2 of these Regulations make amendments to UK legislation, specifically the Financial Conglomerates and Other Financial Groups Regulations 2004 and the Capital Requirements Regulations 2013 to ensure that references in UK legislation to EU bodies and legal requirements which would cause deficiencies in UK legislation once the United Kingdom withdraws from the European Union are amended.

Download or read book The Financial Conglomerates and Other Financial Groups Regulations 2004 written by Great Britain and published by . This book was released on 2004-08-12 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enabling power: European Communities Act 1972, s. 2 (2) & Financial Services and Markets Act 2000, ss. 183 (2), 188 (2), 417 (1), 428 (3). Issued: 12.08.2004. Made: 19.07.2004. Laid: 19.07.2004. Coming into force: 10.08.2004. Effect: 1986 c. 53; 1998 c. 11; S.I. 1998/1130; 2001/2188, 2509, 2511 amended. Territorial extent & classification: E/W/S/NI. General. EC note: These Regulations implement, in part, Directive 2002/87/EC of the European Council and Parliament on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate, and amending Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC, 93/22/EEC, 98/78/EC, 2000/12/EC. Partially revoked by SI 2013/3115 (ISBN 9780111106976)

Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Download or read book Creating a Safer Financial System written by José Vinãls and published by International Monetary Fund. This book was released on 2013-05-14 with total page 27 pages. Available in PDF, EPUB and Kindle. Book excerpt: The U.S., the U.K., and more recently, the E.U., have proposed policy measures directly targeting complexity and business structures of banks. Unlike other, price-based reforms (e.g., Basel 3 and G-SIFI surcharges), these proposals have been developed unilaterally with material differences in scope, design and implementation schedules. This may exacerbate cross-border regulatory arbitrage and put a further burden on consolidated supervision and cross-border resolution. This paper provides an analysis of the potential implications of implementing different structural policy measures. It proposes a pragmatic and coordinated approach to development of these policies to reduce risk of regulatory arbitrage and minimize unintended consequences. In doing so, it also aims to identify a set of common policy measures that countries could adopt to re-scope bank business models and corporate structures.

Download or read book Principles of Corporate Finance Law written by Eilis Ferran and published by OUP Oxford. This book was released on 2014-02-20 with total page 531 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book The Alternative Investment Fund Managers Directive written by Dirk A. Zetzsche and published by Kluwer Law International B.V.. This book was released on 2015-09-14 with total page 948 pages. Available in PDF, EPUB and Kindle. Book excerpt: Apart from MiFID, the Alternative Investment Fund Managers Directive (AIFMD) may be the most important European asset management regulation of the early twenty-first century. In this in-depth analytical and critical discussion of the content and system of the directive, thirty-eight contributing authors – academics, lawyers, consultants, fund supervisors, and fund industry experts – examine the AIFMD from every angle. They cover structure, regulatory history, scope, appointment and authorization of the manager, the requirements for depositaries and prime brokers, rules on delegation, reporting requirements, transitional provisions, and the objectives stipulated in the recitals and other official documents. The challenging implications and contexts they examine include the following: – connection with systemic risk and the financial crisis; - nexus with insurance for negligent conduct; - connection with corporate governance doctrine; - risk management; - transparency; - the cross-border dimension; - liability for lost assets; - impact on alternative investment strategies, and - the nexus with the European Regulation on Long-Term Investment Funds (ELTIFR). Nine country reports, representing most of Europe’s financial centres and fund markets add a national perspective to the discussion of the European regulation. These chapters deal with the potential interactions among the AIFMD and the relevant laws and regulations of Austria, France, Germany, Italy, Luxembourg, Liechtenstein, The Netherlands, Malta and the United Kingdom. The second edition of the book continues to deliver not only the much-needed discussion of the inconsistencies and difficulties when applying the directive, but also provides guidance and potential solutions to the problems it raises. The second edition considers all new developments in the field of alternative investment funds, their managers, depositaries, and prime brokers, including, but not limited to, statements by the European Securities and Markets Authority (ESMA) and national competent authorities on the interpretation of the AIFMD, as well as new European regulation, in particular the PRIIPS Regulation, the ELTIF Regulation, the Regulation on European Venture Capital Funds (EuVeCaR), the Regulation on European Social Entrepreneurship Funds (EUSEFR), MiFID II, and UCITS V. The book will be warmly welcomed by investors and their counsel, fund managers, depositaries, asset managers, administrators, as well as regulators and academics in the field.

Download or read book The Capital Requirements Amendment EU Exit Regulations 2018 written by GREAT BRITAIN. and published by . This book was released on 2018-11-19 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enabling power: European Communities Act 1972, s. 2 (2) & European Union (Withdrawal) Act 2018, s. 8 (1), sch. 7, para. 21. Issued: 19.11.2018. Sifted: -. Made: -. Laid: -. Coming into force: In accord. with reg. 1. Effect: S.I. 2008/346; 2013/3115, 3118; 2014/894 amended. Territorial extent & classification: E/W/S/NI. EC note: Regulation (EU) no. 575/2013 on prudential requirements for credit institutions & investment firms and amending Regulatino (EU) no. 648/2012; Commission Delegated Regulation (EU) 2015/61 supplementing Regulation (EU) no. 575/2013 with regard to liquidity coverage requement for credit institutions; Commission Delegated Regulation (EU) 1222/2014 supplementing Directive 2013/36/EU with regard to regulatory technical standards for the specification of the methodology for the identificaiton of glable systemically important institutions and for the defintion of subcategories of global systemically important institutions amended. For approval by resolution of each House of Parliament

Download or read book Bloomsbury s The Companies Act 2013 and Rules written by Bloomsbury Professional India and published by Bloomsbury Publishing. This book was released on 2021-09-20 with total page 1500 pages. Available in PDF, EPUB and Kindle. Book excerpt: Specification of Definitions Details Rules, 2014 Restriction on number of layers Rules, 2017 Incorporation Rules, 2014 Prospectus and Allotment of Securities Rules, 2014 Issue of Global Depository Receipts Rules, 2014 Share Capital and Debentures Rules, 2014 NCLT (Procedure for Reduction of Share Capital of Company) Rules, 2016 Acceptance of Deposits Rules, 2014 Registration of Charges Rules, 2014 Management and Administration Rules, 2014 Significant Beneficial Owners Rules, 2018 Declaration and Payment of Dividend Rules, 2014 IEPFA (Appointment of Chairperson and Members, Holding of Meetings and Provision for Offices and Officers Rules, 2016 IEPFA (Accounting, Audit, Transfer and Refund) Rules, 2016 IEPFA (Form of Annual Statement of Accounts) Rules, 2018 IEPFA (Form and Time of Preparation of Annual Report) Rules, 2016 Accounts Rules, 2014 National Financial Reporting Authority Rules, 2018 NFRA (Meeting for Transaction of Business) Rules, 2019 Corporate Social Responsibility Policy Rules, 2014 Indian Accounting Standards Rules, 2015 Filing of Documents and Forms in Extensible Business Reporting Language Rules, 2015 Audit and Auditors Rules, 2014 Cost Records and Audit Rules, 2014 Auditor's Report Order, 2016 Specified Companies (Furnishing of information about payment to micro and small enterprise suppliers) Order, 2019 Appointment and Qualification of Directors Rules, 2014 Creation and Maintenance of databank of Independent Directors Rules, 2019 Meetings of Board and its Powers Rules, 2014 Appointment and Remuneration of Managerial Personnel Rules, 2014 Inspection, Investigation and Inquiry Rules, 2014 Arrests in connection with Investigation by Serious Fraud Investigation Office Rules, 2017 Compromises, Arrangements and Amalgamations Rules, 2016 Registered Valuers and Valuation Rules, 2017 Removal of Names of Companies from the Register of Companies Rules, 2016 Winding Up Rules, 2020 Authorised to Register Rules, 2014 Registration of Foreign Companies Rules, 2014 Registration Offices and Fees Rules, 2014 Nidhi Rules, 2014 National Company Law Tribunal Rules, 2016 National Company Law Appellate Tribunal Rules, 2016 Transfer of Pending Proceedings Rules, 2016 Mediation and Conciliation Rules, 2016 Adjudication of Penalties Rules, 2014 Miscellaneous Rules, 2014 MCA Circulars and Orders Secretarial Standard 1 on Meetings of the Board of Directors Secretarial Standard 2 on Meetings of the Board of Directors Secretarial Standard 3 on Dividend SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

Download or read book Corporate Finance Law written by Louise Gullifer and published by Bloomsbury Publishing. This book was released on 2020-03-19 with total page 997 pages. Available in PDF, EPUB and Kindle. Book excerpt: The third edition of this acclaimed book continues to provide a discussion of key theoretical and policy issues in corporate finance law. It has been fully updated to reflect developments in the law and the markets. One of the book's distinctive features is its equal coverage of both the equity and debt sides of corporate finance law, and it seeks, where possible, to compare and contrast the two. This book covers a broad range of topics regarding the debt and equity-raising choices of companies of all sizes, from SMEs to the largest publicly traded enterprises, and the mechanisms by which those providing capital are protected. Each chapter provides a critical analysis of the present law to enable the reader to understand the difficulties, risks and tensions in this area, and the attempts by the legislature, regulators and the courts, as well as the parties involved, to deal with them. The book will be of interest to practitioners, academics and students engaged in the practice and study of corporate finance law.

Download or read book Money Laundering Terrorist Financing and Tax Evasion written by Aretha M. Campbell and published by Springer Nature. This book was released on 2021-10-11 with total page 363 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book explains the consequences of global policy initiatives against money laundering, terrorist financing, and tax evasion on financial centres located in offshore jurisdictions in the Caribbean region. Adding to the existing literature by detailing international policy initiatives against money laundering and tax evasion from the early 1920s to date, this book examines the factors that have contributed to their gradual development over time, their role in contributing to money laundering, terrorist financing, and tax evasion, the international policy initiatives that came about to address these financial crimes, as well as the consequences of these policy initiatives on the legislative systems, institutions, offshore business sectors, and economies of these financial centres.

Download or read book FEMA Ready Reckoner with Commentary 2 Volumes written by R.Sridhar, and published by Bloomsbury Publishing. This book was released on 2021-05-30 with total page 3158 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the Book The book seeks to provide readers with a practical insight into provisions of FEMA and associated laws in the form of commentary. General focus of exchange control laws has gradually shifted over time to compliance, reporting and documentation. Given that FEMA provides for significant penalty and prosecution; there is little room for non-compliance. This book is an attempt to provide professionals and compliance officers with essential knowledge and tools to understand and undertake the necessary compliances. The book provides the latest position without compromising on changes in the law that have taken place over time. This book is an attempt to equip professionals, be it CS, CA, CMA or corporate lawyers, who are desirous of undertaking compliances or practicing on exchange control laws with the requisite knowledge and expertise. It seeks to be a practical guide to interpretation and compliances under exchange control laws. The book promises to be the go-to resource for exchange control laws for current and would be professionals and compliance officers. Key features Extensive coverage of FEMA and its allied rules and regulations with Commentary. Explanation of complex concepts in a lucid manner using illustrations and examples so as to provide clarity and better understanding of the law. Diagrammatic and tabular representation of various concepts for simple and quick understanding. Covering pertinent answers to issues not explicitly defined by law but clarified through practice or interpretation of the regulators. Comprehensive coverage of: (i) FEMA & Allied Acts: – Foreign Exchange Management Act, 1999 – Foreign Contribution (Regulation) Act, 1976 – Foreign Exchange Regulation Act, 1973 – Conservation of Foreign Exchange and Prevention of Smuggling Activities Act, 1974 – Foreign Trade (Development and Regulation) Act, 1992 – Prevention of Money Laundering Act, 2002 – Smugglers and Foreign Exchange Manipulators (Forfeiture of Property) Act, 1976 (ii) Rules and Regulations issued under FEMA Act, 1999 (iii) Forms (iv) FAQs issued by Reserve Bank of India (v) Press Notes (vi). Notifications issued under FEMA (vii). AP DIR Circulars (viii). Consolidated FDI Policy Circular of 2020 effective from October 15, 2020 (ix). Master Directions

Download or read book FEMA Ready Reckoner with Commentary 2 Volumes Sixth Edition written by R.Sridhar, and published by Bloomsbury Publishing. This book was released on 2021-09-15 with total page 2695 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the Book The book seeks to provide readers with a practical insight into provisions of FEMA and associated laws in the form of commentary. General focus of exchange control laws has gradually shifted over time to compliance, reporting and documentation. Given that FEMA provides for significant penalty and prosecution; there is little room for non-compliance. This book is an attempt to provide professionals and compliance officers with essential knowledge and tools to understand and undertake the necessary compliances. The book provides the latest position without compromising on changes in the law that have taken place over time. This book aims to equip professionals, be it CS, CA, CMA or corporate lawyers, who are desirous of undertaking compliances or practicing on exchange control laws with the requisite knowledge and expertise. It seeks to be a practical guide to interpretation and compliances under exchange control laws. The book promises to be the go-to resource for exchange control laws for current and would be professionals and compliance officers.

Download or read book Behavioural Approaches to Corporate Governance written by Cameron Elliott Gordon and published by Routledge. This book was released on 2015-10-05 with total page 157 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate governance failures are all too frequent and their patterns and outcomes seem avoidably familiar. This book examines the findings of behavioural finance and economics that are most relevant to governance problems, and suggests potential solutions that are best suited to real-world practice and circumstance. There is a great deal of existing theory that claims to predict the causes and effects of poor governance, and provide solutions. However, the implementation of such measures seems to do little more than merely delay inevitable crises. This book develops a synthesis framework to examine the relative strengths and weaknesses of a behavioural versus deductive approach to understanding the failures of governance. It concludes with a discussion of how corporate governance theory may need to shift going forward, perhaps to include a ‘heterodox’ ecosystem of theoretical paradigms. This book will be of interest to students, researchers and practitioners concerned with corporate governance, economic theory and behavioural economics.

Download or read book Handbook of Non Banking Financial Companies written by Rajeev Babel and published by Bloomsbury Publishing. This book was released on 2021-03-15 with total page 500 pages. Available in PDF, EPUB and Kindle. Book excerpt: Comprehensive guide for NBFCs regulated by various regulatory authorities. Covers upto-date legislation for NBFCs regulated by: - Reserve Bank of India (RBI). - Securities and Exchange Board of India (SEBI). - Ministry of Corporate Affairs (MCA). - Insurance Regulatory and Development Authority of India (IRDAI). - State Governments. Covers all RBI Master Directions/Notifications and RBI Guidelines for NBFCs upto October 2020.

Download or read book Oswaal ISC 10 Sample Question Papers Class 12 Accounts For Board Exams 2024 Based On The Latest CISCE ISC Specimen Paper written by Oswaal Editorial Board and published by Oswaal Books. This book was released on 2023-10-05 with total page 219 pages. Available in PDF, EPUB and Kindle. Book excerpt: Description of the product • Fresh & Relevant with 2024 ICSE & ISC Specimen Paper- Fully Solved • Score Boosting Insights with 500+ Questions & 1000 Concepts • Insider Tips & Techniques with On-Tips Notes, Mind Maps & Mnemonics • Exam Ready Practice with 10 Highly Probable SQPs

Download or read book Critical Commentary on the Banning of Unregulated Deposit Schemes Act 2019 and Allied Laws written by Suraj Surjit Chaudhary and published by Bloomsbury Publishing. This book was released on 2021-03-15 with total page 498 pages. Available in PDF, EPUB and Kindle. Book excerpt: About the book With the passage of time, the existing State Depositor Protection Laws have proven inadequate in protecting the general public from unscrupulous deposit-taking firms. Parliament has though it fit to remedy the situation by bringing out Banning of Unregulated Deposit Schemes Act, 2019. While there is no end to the kingdom of knowledge in this fast-changing society, there was dearth of suitable books on Depositor Protection Laws. This book is a brief, analytical, section-wise legal commentary on the recently enacted Banning Act which is an umbrella law covering all kinds of deposits-Central and State. It attempts to highlight and analyse the various issues, problems, short-comings, lapses and merits in the Banning Act and allied laws in the backdrop of the litigation surrounding the various State/UT Acts that this new Central Act replaces. This book will be of value to anyone concerned to understand the rights and remedies under this law. It would be immensely useful for legal practitioners, company secretaries, chartered accountants, law makers, enforcement agencies, judges and depositors. Key features This book is an exhaustive treatise on the Banning of Unregulated Deposit Schemes Act, 2019 including - Detailed analysis of judicial precedents relating to the constitutional vires of Central Deposit Law and State Deposit Laws; Compiles and analyses various judicial precedents relating to pari materia provisions found in State Deposit Laws; Detailed analysis of amendments carried out in other laws, including the Securities and Exchange Board of India Act 1992, and the Reserve Bank of India Act 1934; Detailed analysis of related laws, including the Delhi Special Police Establishment Act 1946; Detailed analysis of priority of depositors qua the provisions of the Insolvency and Bankruptcy Code, 2016; Covers latest developments in law including those relating to crypto-currency; Covers the public consultation papers issued by the Central Government; and Detailed coverage of related foreign deposit related laws, including the law of United Kingdom from where important aspects have been borrowed and incorporated in the Act.