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The Law of Financial Advice, Investment Management, and Trading

The Law of Financial Advice, Investment Management, and Trading

Author: Lodewijk Van Setten
Publisher: Oxford University Press
ISBN: 9780198826378
Published In: February 2019
Format: Hardback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

Details

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.
1: Overview and Terminology
2: Financial Assets and Investment
3: Safeguarding money, book-entry securities, and CCP cleared contracts
4: Key concepts in the law and regulation of investment firm conduct
5: The contractual conduct framework
6: Trading and settlement
7: Investment and wealth management