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Download or read book Rules and Regulations Guiding the Operation of Investment Advisers and Capital Market Consultants written by and published by . This book was released on 2000 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.8/5 (33 download)
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author : Great Britain: Parliament: House of Commons: Treasury Committee
Publisher : The Stationery Office
ISBN 13 : 9780215556264
Total Pages : 322 pages
Book Rating : 4.5/5 (562 download)
Download or read book Financial regulation written by Great Britain: Parliament: House of Commons: Treasury Committee and published by The Stationery Office. This book was released on 2011-02-03 with total page 322 pages. Available in PDF, EPUB and Kindle. Book excerpt: Additional written evidence is contained in volume 3, available on the Committee website at www.parliament.uk/treascom
Author :
Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. House. Committee on Financial Services
Publisher :
ISBN 13 :
Total Pages : 336 pages
Book Rating : 4.:/5 (319 download)
Download or read book H.R. 4624, the Investment Adviser Oversight Act of 2012 written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2013 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Dr. I.M. Sahai
Publisher : SBPD Publishing House
ISBN 13 : 9350472732
Total Pages : 250 pages
Book Rating : 4.3/5 (54 download)
Download or read book Financial Market Operation: Revised Edition (2020) written by Dr. I.M. Sahai and published by SBPD Publishing House. This book was released on 2020-06-10 with total page 250 pages. Available in PDF, EPUB and Kindle. Book excerpt: Who can buy? Students pursuing BBA,B.Com, M.Com, MBA and other commerce and professional courses. This book is according to the syllabus of various universities (especially for B.Com students). In this book, Financial Market Operation has been presented with all the modern refinements in a simple and lucid style. Diagrams and examples have been extensively used to make the explanation systematic, logical and meaningful. The book also contains university question papers at the end, if a student wants to prepare for some examination. This book is useful for both the students and teachers.
Author : Robin Hui Huang
Publisher : Cambridge University Press
ISBN 13 : 1108488110
Total Pages : 315 pages
Book Rating : 4.1/5 (84 download)
Download or read book Fintech Regulation in China written by Robin Hui Huang and published by Cambridge University Press. This book was released on 2021-07 with total page 315 pages. Available in PDF, EPUB and Kindle. Book excerpt: Provides a systematic and contextualized account of China's Fintech regulation.
Author : Niamh Moloney
Publisher : Oxford University Press
ISBN 13 : 0192583425
Total Pages : 1335 pages
Book Rating : 4.1/5 (925 download)
Download or read book EU Securities and Financial Markets Regulation written by Niamh Moloney and published by Oxford University Press. This book was released on 2023-03-25 with total page 1335 pages. Available in PDF, EPUB and Kindle. Book excerpt: Over the decade or so since the global financial crisis rocked EU financial markets and led to wide-ranging reforms, EU securities and financial markets regulation has continued to evolve. The legislative framework has been refined and administrative rulemaking has expanded. Alongside, the Capital Markets Union agenda has developed, the UK has left the EU, and ESMA has emerged as a decisive influence on EU financial markets governance. All these developments, as well as the Covid-19 pandemic, have shaped the regulatory landscape and how supervision is organized. EU Securities and Financial Markets Regulation provides a comprehensive, critical, and contextual account of the intricate rulebook that governs EU financial markets and its supporting institutional arrangements. It is framed by an assessment of how the regime has evolved over the decade or so since the global financial crisis and considers, among other matters, the post-crisis reforms to key legislative measures, the massive expansion of administrative rulemaking and of soft law, the Capital Markets Union agenda, the development of supervisory convergence as the means for organizing pan-EU supervision, and ESMA's role in EU financial markets governance. Its coverage extends from capital-raising and the Prospectus Regulation to financial market intermediation and the MiFID II/MiFIR and IFD/IFR regimes, to the new regulatory regimes adopted since the global financial crisis (including for benchmarks and their administrators), to retail market regulation and the PRIIPs Regulation, and on to the EU's third country regime and the implications of the UK's departure from the EU. This is the fourth edition of the highly successful and authoritative monograph first published as EC Securities Regulation. Heavily revised from the third edition to reflect developments since the global financial crisis, it adopts the in-depth contextual and analytical approach of earlier editions and so considers the market, political, institutional, and international context of the regulatory and supervisory regime.
Author : CFA Institute
Publisher : John Wiley & Sons
ISBN 13 : 1119516889
Total Pages : 2757 pages
Book Rating : 4.1/5 (195 download)
Download or read book CFA Program Curriculum 2019 Level III Volumes 1-6 Box Set written by CFA Institute and published by John Wiley & Sons. This book was released on 2018-08-24 with total page 2757 pages. Available in PDF, EPUB and Kindle. Book excerpt: Apply CFA Program concepts and skills to real-world wealth and portfolio management for the 2019 exam The same official curricula that CFA Program candidates receive with program registration is now publicly available for purchase. CFA Program Curriculum 2019 Level III, Volumes 1-6 provides complete, authoritative guidance on synthesizing the entire CFA Program Candidate Body of Knowledge (CBOK) into professional practice for the 2019 exam. This book helps you bring together the skills and concepts from Levels I and II to formulate a detailed, professional response to a variety of real-world scenarios. Coverage spans all CFA Program topics and provides a rigorous treatment of portfolio management, all organized into individual study sessions with clearly defined Learning Outcome Statements. Visual aids clarify complex concepts, and practice questions allow you to test your understanding while reinforcing major content areas. Levels I and II equipped you with foundational investment tools and complex analysis skill; now, you'll learn how to effectively synthesize that knowledge to facilitate effective portfolio management and wealth planning. This study set helps you convert your understanding into a professional body of knowledge that will benefit your clients' financial futures. Master essential portfolio management and compliance topics Synthesize your understanding into professional guidance Reinforce your grasp of complex analysis and valuation Apply ethical and professional standards in the context of real-world cases CFA Institute promotes the highest standards of ethics, education, and professional excellence among investment professionals. The CFA Program curriculum guides you through the breadth of knowledge required to uphold these standards. The three levels of the program build on each other. Level I provides foundational knowledge and teaches the use of investment tools; Level II focuses on application of concepts and analysis, particularly in the valuation of assets; and Level III builds toward synthesis across topics with an emphasis on portfolio management.
Author : Jack W. Plunkett
Publisher : Plunkett Research, Ltd.
ISBN 13 : 1593921020
Total Pages : 508 pages
Book Rating : 4.5/5 (939 download)
Download or read book Plunkett's Investment & Securities Industry Almanac written by Jack W. Plunkett and published by Plunkett Research, Ltd.. This book was released on 2008 with total page 508 pages. Available in PDF, EPUB and Kindle. Book excerpt: The investment and securities industry is rebounding from the dismal markets of the early 2000s. Improved corporate profits, low interest rates and efforts to improve corporate governance have led the way, despite recent scandals in the mutual funds industry. Meanwhile, the investment industry is increasingly a global business. This is partly due to the needs of multinational corporations to list their stocks or issue debt in more than one nation. For example, ADRs (American Depository Receipts) are increasingly popular instruments. Cross-border investments and acquisitions continue at a rapid pace. Discount brokerages are enjoying improved levels of trading, while investment banks are developing new ways to create lucrative fees. This carefully-researched book (which includes a database of leading companies on CD-ROM) is a complete investments, securities and asset management market research and business intelligence tool -- everything you need to know about the business of investments, including: 1) Investment banking, 2) Stock brokers, 3) Discount brokers, 4) Online brokers, 5) Significant trends in financial information technologies, 6) Asset management, 7) Stock ownership by individuals and households, 8) 401(k)s and pension plans, 9) Mutual funds, 10) ETFs (Exchange traded funds), 11) ECNs (Electronic Communication Networks), 12) Developments at the NYSE and other exchanges. The book includes a complete chapter of vital industry statistics, an industry glossary, a complete list of industry contacts such as industry associations and government agencies, and our in-depth profiles of more than 300 leading firms in the investment and asset management business. A CD-ROM database of these firms is included with the book.
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
ISBN 13 : 9781590318737
Total Pages : 216 pages
Book Rating : 4.3/5 (187 download)
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.
Author : Zabihollah Rezaee
Publisher : John Wiley & Sons
ISBN 13 : 1119601452
Total Pages : 997 pages
Book Rating : 4.1/5 (196 download)
Download or read book Business Sustainability, Corporate Governance, and Organizational Ethics written by Zabihollah Rezaee and published by John Wiley & Sons. This book was released on 2019-11-12 with total page 997 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive framework for understanding the most important issues in global business This is the e-book version of Business Sustainability, Corporate Governance, and Organizational Ethics. In today's business environment, multinational corporations are under pressure from investors, lawmakers, and regulators to improve their corporate governance, business sustainability, and corporate culture. Business sustainability, corporate governance, and organizational ethics are taking center stage in the global business environment. This long-awaited text covers each of these three important areas in detail, guiding readers to a robust understanding with features including chapter summaries, essential terms, discussion questions, and cases for each topic covered.
Author : Mark Newman Berry
Publisher : Victoria University Press
ISBN 13 : 9780864734129
Total Pages : 308 pages
Book Rating : 4.7/5 (341 download)
Download or read book Competition Law at the Turn of the Century written by Mark Newman Berry and published by Victoria University Press. This book was released on 2003 with total page 308 pages. Available in PDF, EPUB and Kindle. Book excerpt: This collection of papers brings together the lessons learned from New Zealand's Commerce Act 1986 and its principal subsequent amendments. Providing concise analysis of those amendments, and of topics relating to the original Commerce Act, it pays particular attention to the introduction of economic regulation into the electricity and telecommunication markets. This volume outlines the impact of the Ministry of Economic Development on the effectiveness of the Commerce Act, international perspectives on competition law and methods for administering penalties in competition law cases.
Author : Jason A. Scharfman
Publisher : John Wiley & Sons
ISBN 13 : 1119479622
Total Pages : 229 pages
Book Rating : 4.1/5 (194 download)
Download or read book Private Equity Compliance written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2018-09-12 with total page 229 pages. Available in PDF, EPUB and Kindle. Book excerpt: Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.
Author :
Publisher :
ISBN 13 :
Total Pages : 372 pages
Book Rating : 4.3/5 (121 download)
Download or read book Federal Register written by and published by . This book was released on 2013-03 with total page 372 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Dr. F.C. Sharma
Publisher : SBPD Publications
ISBN 13 :
Total Pages : 311 pages
Book Rating : 4./5 ( download)
Download or read book Financial Market Operations (NEP 2020) written by Dr. F.C. Sharma and published by SBPD Publications. This book was released on 2023-06-10 with total page 311 pages. Available in PDF, EPUB and Kindle. Book excerpt: 1.Financial System in India, 2. Financial System and Economic Development, 3. An Overview of Indian Financial System, 4. Indian Money Market : Definition, Functions, Impor-tance, Component and Structure, 5. Reserve Bank of India, 6. Commercial Banks, 7. Capital Market, 8. Primary Market, 9. Secondary Market, 10.Securities and Exchange Board of India (SEBI), 11.Stock Exchange and Investor, 12. Investors Protection, 13. Financial Services, 14.Merchant Banking, 15.Leasing, Hire Purchase and Housing Finance : Factoring Services and Financial Counselling etc., 16.Venture Capital Financing, 17.Credit Rating.
Author : David Edward Marcinko
Publisher : CRC Press
ISBN 13 : 1482240297
Total Pages : 726 pages
Book Rating : 4.4/5 (822 download)
Download or read book Comprehensive Financial Planning Strategies for Doctors and Advisors written by David Edward Marcinko and published by CRC Press. This book was released on 2014-12-09 with total page 726 pages. Available in PDF, EPUB and Kindle. Book excerpt: Drawing on the expertise of multi-degreed doctors, and multi-certified financial advisors, Comprehensive Financial Planning Strategies for Doctors and Advisors: Best Practices from Leading Consultants and Certified Medical Planners will shape the industry landscape for the next generation as the current ecosystem strives to keep pace.Traditional g
