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A Practitioner's Guide to the Regulation of Investment Banking, 3rd Edition

A Practitioner's Guide to the Regulation of Investment Banking, 3rd Edition

Author: Simon Gleeson
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414028135
Published In: November 2013
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Contents

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A Practitioner's Guide to Investment Banking is a complete guide to the regulation of investment banking activities, helping you to understand how changes to the UK financial regulatory systems affect your organisation and your responsibilities - and how to remain compliant with UK, European and international regulations.

The new 3rd edition covers the most important developments since the publication of the previous edition in 2006.

Covers all the latest regulatory developments to impact investment banking activities, including the Banking Reform Bill; Basel III; MiFID II, Dodd Frank; the Market Abuse Directive Review
Deals with all types of investment banking transactions including equity captial markets, derivatives, loan markets and short selling
Explains how the new UK regulatory structure and the role of the Prudential Regulation Authority impact investment banking
Covers the practice impact of the Banking Reform Bill and the ring-fencing of retail banking operations
Includes guidance on the impact of the Dodd Frank Act outside the US
Advises on key areas of compliance such as governance, client assets, market abuse and confidentiality
Includes chapters from some of the foremost banking and finance regulatory practitioners in the UK

The new edition is completely revised and restructured to cover:

The transition from the FSA and the advent of the Prudential Regulation Authority and Financial Conduct Authority
The impact of the Vickers review and the Banking Reform Bill, which proposes separation of investment and retail banking operations
Basel III
The Market Abuse Directive review
MiFID II
Derivatives clearing regulations
The UK Corporate Governan

The Regulatory Landscape and the Role and Statutory Powers of the Regulators
Simon Gleeson, Clifford Chance
Governance and Senior Management
Bridget Barker, Macfarlanes
Cleared and Uncleared Derivatives
Rachel Hugh-Jones, Clifford Chance
Securities markets, clearing and settlement
Caroline Meinertz, Clifford Chance
Short selling
Christopher Leonard, Bingham McCutchen
Market Abuse Regime
Carlos Conceicao and Chris Stott, Clifford Chance
Debt Securities, Asset-backed Securities and Derivative Securities, the Prospectus Directive Regime
Penny Miller and Rachel McGivern, Simmons & Simmons
Loan Markets
Clare Dawson, Loan Market Association
Impact of Dodd Frank outside the US
Patrick Kenadjian, Annetter Nazareth and Gabriel Rosenberg, Davis Polk & Wardwell
Equity Capital Markets
Lucy Fergusson, Linklaters
Client Assets
Chris Sermon, PricewaterhouseCoopers
Conflicts and Confidential Information
Peter Snowdon, Norton Rose