Subjects:

Banking and Finance

Contents:

1. Principles and policies of financial regulation

2. History of financial regulation

3. Country and EU Summaries

4. Authorisation of banks and investment firms

5. Exchanges and settlement systems

6. Conduct of business by financial firms

7. Trusts, custodianship and client assets

8. Regulation of prospectuses

9. Prospectus liability

10. Prospectus due diligence

11. Prospectus contents

12. Collective investment schemes and hedge funds

13. Investment frauds: market manipulation and insider dealing

14. Money - laundering

15. Financial supervision and capital adequacy

16. Sanctions and enforcement

17.Jurisdiction and territorial scope of regulation, governing law

Volume 7 in the Law & Practice of International Finance Series

This volume provides an in-depth analysis of the substantive issues affecting the regulation of international finance, from authorisation of banks and investment firms, exchanges and settlement systems to financial supervision and capital adequacy.

• Examines the underlying principles and policies of financial regulation
• Contains a large number of snapshot surveys of individual countries’ regulatory regimes
• Reviews the regulation of banks, investment firms, broker-dealers, investment managers and advisers
• Covers the regulation of exchanges
• Deals with the conduct of business by financial firms, including conflicts of interest and client assets
• Covers the regulation of prospectuses
• Surveys collective investment schemes and hedge funds
• Deals with market manipulation, insider dealing and other market abuse
• Surveys financial supervision and capital adequacy
• Provides commentaries on relevant documentation