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Vol 21 No 11 Nov/Dec 2016

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The Law and Regulation of Finance 2nd ed


ISBN13: 9780414031364
Previous Edition ISBN: 9780421947504
Published: August 2013
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Hardback
Price: £379.00



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In-depth, practical and up-to-date, The Law and Regulation of Finance provides a comprehensive account of the law of finance. Covering every major financial market, including foreign exchange, stock-lending and repos, this book provides an in-depth overview of derivatives and securities regulation.

The new edition explains the EU and UK regulatory systems, including the changes made to the UK financial regulatory system by the Financial Services Act 2012 and the Banking Act 2009. It also considers each of the principal financial markets, their standard market documentation, and the way in which the law and regulation applies to them.

New to the 2nd edition:

  • A full analysis of the regulatory changes in the UK: the new Financial Conduct Authority and Prudential Regulatory Authority, and the Financial Policy Committee
  • Analysis of the Financial Services (Banking Reform) Bill 2013
  • A full analysis of EU developments, especially the Larosiere Report; the introduction of the regulation of derivatives, and the changes effected by EMIR and MIFIR; the Alternative Investment Fund Managers Directive
  • The litigation and criminal prosecutions stemming from the financial crisis; and a full analysis of the various strains of litigation which have resulted from the crisis and its aftermath
  • Approximately 100 new cases analysed
  • Increased coverage of the interpretation of contracts and insolvency law

Subjects:
Banking and Finance
Contents:
Section 1 - Principles of the Law of Finance
Part I - An Ordering of the Law of Finance
1. The Components of the Law of Finance
2. The legal nature of money and financial instruments
3. The relationship between substantive law and financial regulation
Part II - Substantive Legal Concepts in the Law of Finance
4. Fundamental legal concepts: contract, property and wrongs
5. Fiduciary duties
6. Conflict of laws
Part III - Financial Services Regulation
7. EU financial regulation
8. UK financial regulation (1): the Financial Services Authority
9. UK financial regulation (2): specifics of UK financial regulation
10. Conduct of business
11. Financial promotion
12. Market Abuse
Part IV - Criminal Law
13. Criminal offences in the Law of Finance
14. Insider dealing
15. Money laundering
16. Fraud in the Criminal Law
Part V - Contract
17. Formation of contracts
18. Validity of contracts
19. Master agreements and common contractual terms and conditions
20. Termination of contracts
Part VI - Property
21. Ownership of money and financial instruments
22. Trusts
23. Taking security and insolvency
24. Tracing and propriety claims
Part VII - Wrongs
25. Fraud and undue influence
26. Negligence and other liability in tort
27. Breach of trust

Section 2 - Specific Financial Techniques
Part VIII - Banking
28. Fundamentals of banking law
29. Banking regulation
30. The banker and customer relationship
31. Payment methods
32. Retail banking and conduct of business regulation
Part IX - Lending
33. Ordinary lending
34. Syndicated lending
35. Bonds
36. Foreign Exchange
Part X - Stakeholding
37. The fundamentals of UK securities law
38. Prospectuses and transparency obligations
39. Official listing of securities 1: principles of listing
40. Official listing of securities 2: admission and maintenance of listing
41. Liability for securities issues
42. Acquisitions
Part XI - Financial Derivatives and Refinancing
43. Financial derivatives products
44. Documentation of financial derivatives
45. Collateralisation
46. Termination of financial derivatives
47. Securitisation
Part XII - Proprietary Finance
48. Property Finance
49. Mortgages
50. Stock-lending and "repo" transactions
Part XIII - Collective Investment Entities
51. Communal investment models
52. Collective investment schemes
53. Friendly societies and unincorporated associations
54. Co-operatives and credit unions
55. Occupational pension funds
56. Insurance regulation
Part XIV - Crisis and reform
57. The financial crisis and its aftermath