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Author :
Publisher :
ISBN 13 :
Total Pages : 23 pages
Book Rating : 4.:/5 (62 download)
Download or read book Designing the FSA Handbook of Rules and Guidance written by and published by . This book was released on 1998 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 23 pages
Book Rating : 4.:/5 (933 download)
Download or read book Designing the FSA Handbook of Rules and Guidance written by and published by . This book was released on 1998 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Financial Services Authority (Great Britain)
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (489 download)
Download or read book FSA Handbook of Rules and Guidance written by Financial Services Authority (Great Britain) and published by . This book was released on 2001 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Financial Services Authority (Great Britain)
Publisher :
ISBN 13 : 9781405713771
Total Pages : pages
Book Rating : 4.7/5 (137 download)
Download or read book FSA Handbook of Rules and Guidance written by Financial Services Authority (Great Britain) and published by . This book was released on 2005 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Eilís Ferran
Publisher : Bloomsbury Publishing
ISBN 13 : 1847311695
Total Pages : 356 pages
Book Rating : 4.8/5 (473 download)
Download or read book Regulating Financial Services and Markets in the 21st Century written by Eilís Ferran and published by Bloomsbury Publishing. This book was released on 2001-09-11 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt: The essays in this work offer a high-level examination of the most important issues facing financial services regulation,and the far-reaching effects of the Financial Services and Markets Act 2000 on the UK financial sector in the context of rapid global change. Taking an interdisciplinary approach the book includes contributions by many distinguished academic authorities on the law and economics of regulation, and also some of the most influential practitioners, regulators and policymakers. As such it provides an authoritative analysis of the underlying issues affecting the broad development of financial services regulation: the objectives of regulation, the responsibilities of the regulated community, the accountability of regulators, the regulation of electronic financial markets and the impact of stock market mergers, regional regulation within Europe, and the development of global financial regulation.
Author : Justin O'Brien
Publisher : Bloomsbury Publishing
ISBN 13 : 1782253564
Total Pages : 511 pages
Book Rating : 4.7/5 (822 download)
Download or read book Integrity, Risk and Accountability in Capital Markets written by Justin O'Brien and published by Bloomsbury Publishing. This book was released on 2014-07-18 with total page 511 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author : John C. Burch
Publisher : Wolters Kluwer
ISBN 13 : 0735550328
Total Pages : 1458 pages
Book Rating : 4.7/5 (355 download)
Download or read book Capital Markets Handbook written by John C. Burch and published by Wolters Kluwer. This book was released on 2005-01-01 with total page 1458 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as: New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensation Updates on PIPE and Registered Direct Transactions Amendments to Rule 10b-18 governing corporate repurchase of equity securities Online Dutch auction procedures in use for the Google, Inc. IPO United Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bank Amendments to Rule 105 Regulation M concerning short selling in connection with public offerings Currency conversion in settlement of a global offering NASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securities NASD IPO Distribution Manager procedures for filing with NASD Corporate Financing Proposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offering A reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1 And more
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405736619
Total Pages : pages
Book Rating : 4.7/5 (366 download)
Download or read book FSA Handbook - Specialist Sourcebooks - Regulated Covered Bonds (REG) written by The Financial Services Authority and published by . This book was released on 2008-03-31 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The Financial Services Authority (FSA) is a non-governmental body given statutory powers by the Financial Services and Markets Act 2000 to regulate the financial services industry. It sets standards with which the industry must comply, and gives guidance on those standards. These are set out in the FSA's Handbook of Rules and Guidance.
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405746328
Total Pages : pages
Book Rating : 4.7/5 (463 download)
Download or read book FSA Handbook - the Unfair Contract Terms Regulatory Guide written by The Financial Services Authority and published by . This book was released on 2009-02-25 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405746298
Total Pages : pages
Book Rating : 4.7/5 (462 download)
Download or read book FSA Handbook - the Enforcement Guide written by The Financial Services Authority and published by . This book was released on 2009-02-25 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405746335
Total Pages : pages
Book Rating : 4.7/5 (463 download)
Download or read book FSA Handbook - Oil Market Participants written by The Financial Services Authority and published by . This book was released on 2009-03-03 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The Financial Services Authority (FSA) is a non-governmental body given statutory powers by the Financial Services and Markets Act 2000 to regulate the financial services industry. It sets standards with which the industry must comply, and gives guidance on those standards. These are set out in the FSA's Handbook of Rules and Guidance.
Author :
Publisher :
ISBN 13 :
Total Pages : 434 pages
Book Rating : 4.3/5 (91 download)
Download or read book Cohort Default Rate Guide written by and published by . This book was released on 2001 with total page 434 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405746304
Total Pages : pages
Book Rating : 4.7/5 (463 download)
Download or read book FSA Handbook - the Perimeter Guidance Manual written by The Financial Services Authority and published by . This book was released on 2009-02-25 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Iain G MacNeil
Publisher : Bloomsbury Publishing
ISBN 13 : 1847318746
Total Pages : 430 pages
Book Rating : 4.8/5 (473 download)
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 430 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
Author : Lu’ayy Minwer Al-Rimawi
Publisher : Kluwer Law International B.V.
ISBN 13 : 9041141928
Total Pages : 356 pages
Book Rating : 4.0/5 (411 download)
Download or read book Raising Capital on Arab Equity Markets written by Lu’ayy Minwer Al-Rimawi and published by Kluwer Law International B.V.. This book was released on 2012-02-01 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt: This first book of its kind discusses in particular the role of investor protection as regards disclosure when issuers are offering securities to the public, with full descriptions of the securities markets and stock exchanges in seventeen Arab jurisdictions. In two interrelated parts it examines both the regional macroeconomic matrix and a detailed case study (that of Jordan) in order to analyse the development and characteristics of an Arab regulatory model. Among the important issues and topics arising in the course of the analysis are the following: relevance of international regulatory standards to Arab securities markets; mandatory versus voluntary securities disclosure; the fundamentals of the Islamic financial system, role of riba and gharar, nature and impact of Shari’a’s unquantifiable juridical risks on the modus operandi of Arab securities markets; macroeconomic adjustment policies and structural adjustment programmes in several Arab countries; recent economic and Arab capital markets impact in the wake of the ‘Arab Spring’; extent of different countries’ reliance on Shari’a as a constitutional source; constitutional challenges to the imposition of interest; the need for the positive law to compel securities disclosure under Shari’a; shareholders’ remedies when suing for fraud or negligent misstatements; liability for misleading or inaccurate disclosure (under the general law of the UK and a selected Arab jurisdiction); prospectus liability under the statutory regime of the UK and an Arab regulatory regime; bars to rescission of contract: Comparative UK and Shari'a aspects; and Arab, UK regulatory agencies' enforcement, prosecutorial, administrative and civil remedies. The author closely examines various instruments deployed for conveying securities disclosure and dissemination of information, and looks extensively at relevant rulings as enunciated by an Arab court of cassation. He then constructs a model of an effective securities disclosure regime in order to provide better investor protection for shareholders under Shari’a. 'Among the strengths of Dr Lu’ayy Minwer Al-Rimawi’s book is the fact that at all times he adopts a comparative approach, not only as between different Arab systems, but also with an appreciation of the legal position in the UK and the European Union and elsewhere’ [The Hon. Mr Justice Sir William Blair Q.C., High Court Judge in the UK and Chairman of the Qatar Financial Centre Regulatory Tribunal]. As the first in-depth discussion of the regulation of Arab capital markets in English, with an eye to international standards and the policy issues involved – and with attention focused on the central question of how the law can properly protect investors – this book will commend itself to all those with an interest in securities markets in the Arab world.
Author : The Financial Services Authority
Publisher :
ISBN 13 : 9781405746274
Total Pages : pages
Book Rating : 4.7/5 (462 download)
Download or read book FSA Handbook - the Building Societies Regulatory Guide written by The Financial Services Authority and published by . This book was released on 2009-02-25 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : U.S. Department of Education
Publisher : Government Printing Office
ISBN 13 : 0160926238
Total Pages : 67 pages
Book Rating : 4.1/5 (69 download)
Download or read book Funding Your Education written by U.S. Department of Education and published by Government Printing Office. This book was released on 2014-10-01 with total page 67 pages. Available in PDF, EPUB and Kindle. Book excerpt: This guide provides a description of Federal Student Aid programs and the application process. Readers will find information on federal student aid as a source for funding postsecondary education, and know where to go for more detailed information. Funding Your Education: The Guide to Federal Student Aid speaks to high school students, college students, adults, and parents interested in finding out about financial aid from the federal government to help pay for education expenses at an eligible college, technical school, vocational school, or graduate school.
