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Author : Frederick Mark Gedicks
Publisher :
ISBN 13 :
Total Pages : 54 pages
Book Rating : 4.:/5 (129 download)
Download or read book Suitability Claims and Purchases of Unrecommended Securities written by Frederick Mark Gedicks and published by . This book was released on 2015 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: It is well-established th ...
Author : Heinz-Dieter Assmann
Publisher : Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften
ISBN 13 :
Total Pages : 132 pages
Book Rating : 4.F/5 ( download)
Download or read book The Broker-dealer's Liability for Recommendations written by Heinz-Dieter Assmann and published by Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften. This book was released on 1982 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today's capital markets the individual investor finds it increasingly difficult to gather, select and evaluate all the information that is required to make a reasonable investment decision. It is the broker-dealer who steps into the breach. The service he renders as a professional intermediary of informations culminates in investment recommendations. The threat of being held liable should ensure that a broker-dealer's recommendation is the result of a sound inquiry into the security and the customer's situation. This study examines the extent to which such a remedy is actually provided for under the U.S. securities laws and the so-called suitability rules of self-regulatory organizations (i.e., broker-dealer associations and stock exchanges).
Author : D. Gordon Smith
Publisher : Edward Elgar Publishing
ISBN 13 : 1784714836
Total Pages : 471 pages
Book Rating : 4.7/5 (847 download)
Download or read book Research Handbook on Fiduciary Law written by D. Gordon Smith and published by Edward Elgar Publishing. This book was released on with total page 471 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Research Handbook on Fiduciary Law offers specially commissioned chapters written by leading scholars and covers a wide range of important topics in fiduciary law. Topical contributions discuss: various fiduciary relationships; the duty of loyalty and other fiduciary obligations; fiduciary remedies; the role of equity; the role of trust; international and comparative perspectives; and public fiduciary law. This Research Handbook will be of interest to readers concerned with both theory and practice, as it incorporates significant new insights and developments in the field.
Author : Junghoon Kim
Publisher : Springer Nature
ISBN 13 : 9811573298
Total Pages : 375 pages
Book Rating : 4.8/5 (115 download)
Download or read book Strategies of Financial Regulation written by Junghoon Kim and published by Springer Nature. This book was released on 2020-12-03 with total page 375 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book analyses different strategies and their results in implementing financial regulation in terms of rule-making, public enforcement and private enforcement. The analysis is based on a comparative study of conduct of business regulation on mis-selling of financial instruments in the UK and South Korea. It extends into liquidity regulation in the banking sector and credit rating agency regulation. The book concludes that in rule-making, purposive rules are more effective for achieving regulatory goals with minimal undesirable results, but a rule-making system with purposive rules can only work on a foundation of trust among rule-makers, enforcers and the regulates, that with respect to public enforcement, the enforcement strategies should combine the compliance-oriented and deterrence-oriented approaches and be continuously adjusted based on close monitoring of the regulatory outcomes and that in private enforcement, regulation should be instituted as the minimum requirement in private law.
Author : Alan Rechtschaffen
Publisher : Oxford University Press
ISBN 13 : 0199887632
Total Pages : 627 pages
Book Rating : 4.1/5 (998 download)
Download or read book Capital Markets, Derivatives and the Law written by Alan Rechtschaffen and published by Oxford University Press. This book was released on 2009-09-10 with total page 627 pages. Available in PDF, EPUB and Kindle. Book excerpt: President Obama recently called for a new financial regulation system in the United States. In order to understand the intricacies of new regulation, individuals must have a strong foundation in how capital markets function as well as how financial instruments and derivatives work. Capital Markets, Derivatives, and the Law provides readers with the foundation necessary to make informed, well-reasoned decisions about capital market participation, derivative utilization, and adherence to existing and future regulations. This publication is an essential guide for attorneys and business professionals looking for an accessible resource to better understand the legal and business considerations of capital markets and derivatives transactions. This book offers expert insight into how derivatives work. The author also explores the structures of derivatives as well as how they are regulated and litigated. In the complex world of the current capital market upheaval, this book provides useful definitions, case law examples, and insight into structures, regulation, and litigation strategies.
Author :
Publisher :
ISBN 13 :
Total Pages : 492 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Arbitration written by and published by . This book was released on 2008 with total page 492 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Alan N. Rechtschaffen
Publisher : Oxford University Press
ISBN 13 : 0190879653
Total Pages : 496 pages
Book Rating : 4.1/5 (98 download)
Download or read book Capital Markets, Derivatives, and the Law written by Alan N. Rechtschaffen and published by Oxford University Press. This book was released on 2019-04-30 with total page 496 pages. Available in PDF, EPUB and Kindle. Book excerpt: Dramatic failures in individual markets and institutions sparked a global financial crisis that resulted in political, social, and economic unrest. In the United States, a host of legislative acts have completely reshaped the regulatory landscape. Capital Markets, Derivatives and the Law: Positivity and Preparation investigates the impact of the financial crisis on capital markets and regulation. With an emphasis on the structure and the workings of financial instruments, it considers market evolution after the crisis and the impact of Central Bank policy. In doing so, it provides the reader with the tools to recognize vulnerabilities in capital market trading activities. This edition serves as an essential guide to better understand the legal and business considerations of capital market participation. With useful definitions, case law examples, and expert insight into structures, regulation, and litigation strategies, Capital Markets, Derivatives and the Law: Positivity and Preparation offers readers invaluable tools to make prudent, well-informed decisions.
Author : Alan R. Bromberg
Publisher :
ISBN 13 :
Total Pages : 798 pages
Book Rating : 4.F/5 ( download)
Download or read book Bromberg and Lowenfels on Securities Fraud & Commodities Fraud written by Alan R. Bromberg and published by . This book was released on 1994 with total page 798 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher :
ISBN 13 :
Total Pages : 698 pages
Book Rating : 4.F/5 ( download)
Download or read book Treatise on the Law of Securities Regulation written by Thomas Lee Hazen and published by . This book was released on 2009 with total page 698 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 1048 pages
Book Rating : 4.:/5 (54 download)
Download or read book Ohio State Journal on Dispute Resolution written by and published by . This book was released on 2005 with total page 1048 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : William K. S. Wang
Publisher :
ISBN 13 :
Total Pages : 1018 pages
Book Rating : 4.F/5 ( download)
Download or read book Insider Trading written by William K. S. Wang and published by . This book was released on 2005 with total page 1018 pages. Available in PDF, EPUB and Kindle. Book excerpt: A guide to avoiding insider trading liability. It gives you the legal knowledge and practical tools you need to determine what's legal, what's not, and what you can do to minimise liability exposure.
Author :
Publisher :
ISBN 13 :
Total Pages : 1320 pages
Book Rating : 4.F/5 ( download)
Download or read book Current Law Index written by and published by . This book was released on 2006 with total page 1320 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : William F. Sharpe
Publisher : Princeton University Press
ISBN 13 : 1400830184
Total Pages : 232 pages
Book Rating : 4.4/5 (8 download)
Download or read book Investors and Markets written by William F. Sharpe and published by Princeton University Press. This book was released on 2011-01-01 with total page 232 pages. Available in PDF, EPUB and Kindle. Book excerpt: In Investors and Markets, Nobel Prize-winning financial economist William Sharpe shows that investment professionals cannot make good portfolio choices unless they understand the determinants of asset prices. But until now asset-price analysis has largely been inaccessible to everyone except PhDs in financial economics. In this book, Sharpe changes that by setting out his state-of-the-art approach to asset pricing in a nonmathematical form that will be comprehensible to a broad range of investment professionals, including investment advisors, money managers, and financial analysts. Bridging the gap between the best financial theory and investment practice, Investors and Markets will help investment professionals make better portfolio choices by being smarter about asset prices. Based on Sharpe's Princeton Lectures in Finance, Investors and Markets presents a method of analyzing asset prices that accounts for the real behavior of investors. Sharpe makes this technique accessible through a new, one-of-a-kind computer program (available for free on his Web site, at http://www.stanford.edu/~wfsharpe/apsim/index.html) that enables users to create virtual markets, setting the starting conditions and then allowing trading until equilibrium is reached and trading stops. Program users can then analyze the final portfolios and asset prices, see expected returns, and measure risk. In addition to popularizing the most sophisticated form of asset-price analysis, Investors and Markets summarizes much of Sharpe's most important previous work and reflects a lifetime of thinking about investing by one of the leading minds in financial economics. Any serious investment professional will benefit from Sharpe's unique insights.
Author :
Publisher :
ISBN 13 :
Total Pages : 400 pages
Book Rating : 4.F/5 ( download)
Download or read book Corporate Practice Series written by and published by . This book was released on 2008 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Boston Institute of Finance
Publisher : John Wiley & Sons
ISBN 13 : 0471732214
Total Pages : 205 pages
Book Rating : 4.4/5 (717 download)
Download or read book The Boston Institute of Finance Mutual Fund Advisor Course written by Boston Institute of Finance and published by John Wiley & Sons. This book was released on 2005-05-13 with total page 205 pages. Available in PDF, EPUB and Kindle. Book excerpt: Access the industry?s premier print study guide and the industry?s premier online test-prep materials with this unique package. The study guide consists of seven chapters, which parallel the content of the exams. Each chapter includes review questions and provides the core knowledge necessary to pass the exams. The associated test-prep Web course provides sample test questions and tips that will help you get a better feel for the actual exams. Filled with in-depth insight and expert guidance, you won?t need anything else to pass the Series 6 and Series 63 exams. Order your copy today.
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1360 pages
Book Rating : 4.3/5 (129 download)
Download or read book Decisions and Reports written by United States. Securities and Exchange Commission and published by . This book was released on 1994 with total page 1360 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : International Monetary Fund
Publisher : International Monetary Fund
ISBN 13 : 1589060938
Total Pages : 167 pages
Book Rating : 4.5/5 (89 download)
Download or read book Coordinated Portfolio Investment Survey Guide (second edition) written by International Monetary Fund and published by International Monetary Fund. This book was released on 2002-05-10 with total page 167 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper reviews the coordinated portfolio investment survey (CPIS) guide. The objectives of CPIS are to collect comprehensive information, with geographical detail on the country of residence of the issuer, on the stock of cross-border equities, long-term bonds and notes, and short-term debt instruments for use in the compilation or improvement of international investment position statistics on portfolio investment capital. This paper discusses the scope and modalities of the CPIS. It also presents key findings of the 1997 CPIS and 2001 CPIS.
