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Book Synopsis The Law and Regulation of Solicitors: Client Money by : Katie Jackson
Download or read book The Law and Regulation of Solicitors: Client Money written by Katie Jackson and published by Bloomsbury Publishing. This book was released on 2023-05-01 with total page 472 pages. Available in PDF, EPUB and Kindle. Book excerpt: All those involved in legal services delivery, whether solicitors, licensed conveyancers, reporting accountants, or other legal professionals, need to understand the requirements for receiving, holding, and transferring client money. Handling this money also has another dimension for the professional to carefully consider: the serious issue of anti-money laundering. Presenting the rules, requirements, and anti-money laundering context of law firm financial management in an easy-to-understand guide, this book takes a new angle by examining client money in two important and related arenas: - Within the client account - Within the legislative framework for money laundering Providing a straightforward explanation of the Solicitors Accounts Rules, CLC Accounts Rules, the Money Laundering Regulations 2017, and the relevant sections of the Proceeds of Crime Act 2002, its practical layout encompasses diagrams, worked examples, and a section of training materials for use as continuous professional development. The book not only informs and is a reference point for the reader and their firm, but it also provides example forms, risk assessments, and training plans. Firms can use it as a basis for policies and procedures, learning and education, and for broader policy debate amongst more senior professionals. This is essential reading for those studying to become solicitors or licensed conveyancers; legal and finance professionals; money laundering reporting officers; and accounts professionals in legal services.
Book Synopsis Accounts for Solicitors by : Ralph Denny
Download or read book Accounts for Solicitors written by Ralph Denny and published by Routledge. This book was released on 2013-03-04 with total page 388 pages. Available in PDF, EPUB and Kindle. Book excerpt: First published in 2004. Routledge is an imprint of Taylor & Francis, an informa company.
Author : Publisher :Oxford University Press ISBN 13 :0198837259 Total Pages : pages Book Rating :4.1/5 (988 download)
Download or read book written by and published by Oxford University Press. This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Capital Markets Law and Compliance by : Paul Nelson
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.
Book Synopsis Yeowart and Parsons on the Law of Financial Collateral by : Geoffrey Yeowart
Download or read book Yeowart and Parsons on the Law of Financial Collateral written by Geoffrey Yeowart and published by Edward Elgar Publishing. This book was released on 2016-02-26 with total page 903 pages. Available in PDF, EPUB and Kindle. Book excerpt: As the volume of transactions in European financial markets continues to grow, the use of financial collateral, be it in the form of cash, shares, bonds or credit claims, has become a critical tool in supporting and managing risk in financial transactions. This book is the first of its kind to offer a systematic examination of the whole law relating to financial collateral. It does so in two parts. First, it explains the law created by the Financial Collateral Arrangements (No 2) Regulations 2003, the Directive it implemented and related legislation. Second, it examines how financial collateral is used in practice in a range of different markets. It will be an essential reference point for all legal practitioners operating in financial markets. Key features: • Analytical rigour combined with insight into how financial collateral works in practice, covering both English and Scots law • Valuable discussion of control and possession tests, right of use, remedy of appropriation, close-out netting and impact of ‘bail-in’ • Explains use of financial collateral in the derivatives market, clearing houses, direct and indirect securities holding systems and use of repos, securities lending and prime brokerage • Highlights key issues on regulatory treatment and conflicts of laws • Discusses direction of future law reform • Written by leading experts in the field.
Book Synopsis Financial Services Law Guide by : Andrew Haynes
Download or read book Financial Services Law Guide written by Andrew Haynes and published by Bloomsbury Publishing. This book was released on 2021-11-30 with total page 517 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.
Book Synopsis Clearing and Settlement by : Dermot Turing
Download or read book Clearing and Settlement written by Dermot Turing and published by Bloomsbury Publishing. This book was released on 2021-02-12 with total page 900 pages. Available in PDF, EPUB and Kindle. Book excerpt: The post-trading industry is one in which financial firms make money and one in which risk issues need careful management. Reliable payment, clearing and settlement structures are perceived to be essential to enable financial firms to withstand shocks. A great deal of the cost of trading and cross-border investment is attributed to the very complex process of clearing and settlement. This book describes and explains: 1. what happens in clearing and settlement, and the roles of (and risks assumed by) the various participants in the post-trade marketplace 2. the law applicable to infrastructures, how they are are regulated, and the other topographical features of their legal landscape 3. the legal and practical aspects of risk management and operations of infrastructures 4. the risks faced by participants in payment, clearing and settlement systems - the agent banks - along with practical and operational issues which they face in their roles. Fully revised, updates for the 3rd edition include: - Implications and impact of Brexit - CPMI and IOSCO paper on central counterparty default (CCP) management auctions - cyber-security and the resilience of financial market infrastructures (FMIs) and the wider market ecosystem.
Book Synopsis Annotated Model Rules of Professional Conduct by :
Download or read book Annotated Model Rules of Professional Conduct written by and published by American Bar Association. This book was released on 2003 with total page 748 pages. Available in PDF, EPUB and Kindle. Book excerpt: This definitive resource for information about lawyer ethics has been updated and expanded to include all the amendments the ABA made to the Model Rules in 2002.
Book Synopsis Accounts for Solicitors 2018/2019 by : Lesley King
Download or read book Accounts for Solicitors 2018/2019 written by Lesley King and published by College of Law Publishing . This book was released on 2018-06-30 with total page 334 pages. Available in PDF, EPUB and Kindle. Book excerpt: Accounts for Solicitors is a practical introduction to a subject that all practising solicitors need to understand.
Book Synopsis Ellinger's Modern Banking Law by : Eliahu Peter Ellinger
Download or read book Ellinger's Modern Banking Law written by Eliahu Peter Ellinger and published by Oxford University Press, USA. This book was released on 2011-07-21 with total page 1057 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book looks at the UK banking in the context of general legal doctrines and banking regulation. It draws on Australian, US and Canadian examples and deals with the impact of the recent global financial crisis.
Book Synopsis Probate Practitioner's Handbook by : Lesley King
Download or read book Probate Practitioner's Handbook written by Lesley King and published by The Law Society. This book was released on 2021-02-22 with total page 630 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Probate Practitioner's Handbook is a well-established and popular guide to good practice for solicitors' firms that undertake probate and estate administration work.This new ninth edition has been comprehensively updated by leading experts to take account of: money-laundering issues including the requirements of the 5th EU Anti-Money Laundering Directives and the updated LSAG guidance the SRA Accounts Rules 2019 changes resulting from the new SRA Standards and Regulations new SRA guidance relevant to practitioners updates to relevant practice notes including disputed wills and handling complaints Inheritance and Capital Gains Tax developments implications of the UK leaving the European Union the introduction of the SRA Transparency Rules implications for practitioners arising from the Covid pandemic. the different ways in which foreign elements may affect the English probate practitioner. An essential new chapter explains how data protection law applies in the context of the administration of estates. Features such as checklists, precedents, case commentaries and examples enhance the book's usefulness.
Book Synopsis Saudi Securities Law by : Michael O'Kane
Download or read book Saudi Securities Law written by Michael O'Kane and published by Michael OKane. This book was released on 2011-04-02 with total page 449 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a compilation of Saudi Securities law accompanied by a brief analysis. Containing all relevant Saudi securities laws, it is a necessary reference for those seeking to make private placements, raise funds, or buy or sell securities in and to the Kingdom of Saudi Arabia. This edition contains the full text of the publicly unavailable Securities Disputes Committee Rules in English as well as a section index.
Author :United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations Publisher : ISBN 13 : Total Pages :990 pages Book Rating :4.:/5 (319 download)
Book Synopsis Energy Speculation by : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Download or read book Energy Speculation written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and published by . This book was released on 2008 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :Francesca Bargiela-Chiappini Publisher :Edinburgh University Press ISBN 13 :0748631836 Total Pages :528 pages Book Rating :4.7/5 (486 download)
Book Synopsis Handbook of Business Discourse by : Francesca Bargiela-Chiappini
Download or read book Handbook of Business Discourse written by Francesca Bargiela-Chiappini and published by Edinburgh University Press. This book was released on 2009-05-12 with total page 528 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Handbook of Business Discourse is the most comprehensive overview of the field to date. It offers an accessible and authoritative introduction to a range of historical, disciplinary, methodological and cultural perspectives on business discourse and addresses many of the pressing issues facing a growing, varied and increasingly international field of research. The collection also illustrates some of the challenges of defining and delimiting a relatively recent and eclectic field of studies, including debates on the very definition of 'business discourse'. Part One includes chapters on the origins, advances and features of business discourse in Europe, North America, Australia and New Zealand. Part Two covers methodological approaches such as mediated communication, corpus linguistics, organisational discourse, multimodality, race and management communication, and rhetorical analysis. Part Three moves on to look at disciplinary perspectives such as sociology, pragmatics, gender studies, intercultural communication, linguistic anthropology and business communication. Part Four looks at cultural perspectives across a range of geographical areas including Spain, Brazil, Japan, Korea, China and Vietnam. The concluding section reflects on future developments in Europe, North America and Asia.
Book Synopsis Regulation and Compliance in Operations by : David Loader
Download or read book Regulation and Compliance in Operations written by David Loader and published by Butterworth-Heinemann. This book was released on 2004-01-12 with total page 212 pages. Available in PDF, EPUB and Kindle. Book excerpt: As such intense oversight is not practical, the regulator can only do so much, with most of the responsibility resting with the firms and organizations themselves. For operations teams their role in protecting the firm stems from their ability to manage critical processes like reconciliation, asset position agreements and the nostro accounts efficiently and effectively. Regulators need the help and support of the businesses to have a 'business-friendly environment'. When some abuse the trust placed in them and the regulatory environment, a 'scandal' or worse occurs, with the result that the majority are penalized as regulators react to criticism and apply more onerous regulations. It is often the operations teams that bear most, or at least some, of the repercussions of greater regulatory oversight of the business. It is therefore vitally important for operations teams to have a firm understanding of the regulatory issues and drivers.
Download or read book The Annual Practice written by and published by . This book was released on 1949 with total page 1292 pages. Available in PDF, EPUB and Kindle. Book excerpt: A collection of the statutes, orders, and rules relating to the general practice, procedure and jurisdiction of the Supreme Court.
Book Synopsis Legal Data for Banking by : Akber Datoo
Download or read book Legal Data for Banking written by Akber Datoo and published by John Wiley & Sons. This book was released on 2019-04-26 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.
