The Law of Financial Advice, Investment Management, and Trading

Nonfiction, Reference & Language, Law, Banking, Business
Cover of the book The Law of Financial Advice, Investment Management, and Trading by Lodewijk van Setten, OUP Oxford
View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart
Author: Lodewijk van Setten ISBN: 9780192560902
Publisher: OUP Oxford Publication: February 14, 2019
Imprint: OUP Oxford Language: English
Author: Lodewijk van Setten
ISBN: 9780192560902
Publisher: OUP Oxford
Publication: February 14, 2019
Imprint: OUP Oxford
Language: English

This work analyses the law and regulation relating to financial investments, their markets, payment and settlement systems, as well as the duties and liabilities of intermediaries, providing invaluable legal and practical guidance regarding legal risk and the protection of the investor. The book is divided into three parts. Part I categorises the various financial assets legally and analyses their legal, regulatory, and risk/return properties, and examines what protections are available to investors who own financial assets. It also addresses the investment principles that underpin the investment processes. Part II addresses the process by which financial assets may be acquired and disposed of via the markets and the market infrastructure, including central counterparty and clearing features as well as payment and settlement systems. It analyses the risks investors face in the context of trading and settlement. The impact of the principles and risks, described in Parts I and II respectively, inform the scope of the duties, responsibilities and liabilities of the intermediaries that advise investors. Part III focuses on the role of these intermediaries, tying together the constituent components of the investment cycle from the investor's point of view and examining the quality of investor protection, service, proprietary protection and regulatory supervision. Written by a specialist with broad market experience this book is an essential purchase for all lawyers advising investors, financial advisors and investment managers.

View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart

This work analyses the law and regulation relating to financial investments, their markets, payment and settlement systems, as well as the duties and liabilities of intermediaries, providing invaluable legal and practical guidance regarding legal risk and the protection of the investor. The book is divided into three parts. Part I categorises the various financial assets legally and analyses their legal, regulatory, and risk/return properties, and examines what protections are available to investors who own financial assets. It also addresses the investment principles that underpin the investment processes. Part II addresses the process by which financial assets may be acquired and disposed of via the markets and the market infrastructure, including central counterparty and clearing features as well as payment and settlement systems. It analyses the risks investors face in the context of trading and settlement. The impact of the principles and risks, described in Parts I and II respectively, inform the scope of the duties, responsibilities and liabilities of the intermediaries that advise investors. Part III focuses on the role of these intermediaries, tying together the constituent components of the investment cycle from the investor's point of view and examining the quality of investor protection, service, proprietary protection and regulatory supervision. Written by a specialist with broad market experience this book is an essential purchase for all lawyers advising investors, financial advisors and investment managers.

More books from OUP Oxford

Cover of the book World War II: A Very Short Introduction by Lodewijk van Setten
Cover of the book Aristotle: A Very Short Introduction by Lodewijk van Setten
Cover of the book Layered Superconductors by Lodewijk van Setten
Cover of the book The Black Tulip by Lodewijk van Setten
Cover of the book The Cradle of Humanity by Lodewijk van Setten
Cover of the book Race, Criminal Justice, and Migration Control by Lodewijk van Setten
Cover of the book Introduction to EU Energy Law by Lodewijk van Setten
Cover of the book Gleeson on the International Regulation of Banking by Lodewijk van Setten
Cover of the book Blossoms by Lodewijk van Setten
Cover of the book The Handbook of the Law of Visiting Forces by Lodewijk van Setten
Cover of the book The Oxford Handbook of the American Presidency by Lodewijk van Setten
Cover of the book EU Law Beyond EU Borders by Lodewijk van Setten
Cover of the book Principles of Lender Liability by Lodewijk van Setten
Cover of the book Resolution and Insolvency of Banks and Financial Institutions by Lodewijk van Setten
Cover of the book Corporate Internal Investigations by Lodewijk van Setten
We use our own "cookies" and third party cookies to improve services and to see statistical information. By using this website, you agree to our Privacy Policy