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

Edited by: Simon Gleeson

ISBN13: 9780414028135
Previous Edition ISBN: 9781905121038
Published: November 2013
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: £234.00



This is a Print On Demand Title.
The publisher will print a copy to fulfill your order. Books can take between 1 to 3 weeks. Looseleaf titles between 1 to 2 weeks.

This book is a complete guide to the regulation of investment banking activities in the UK.

It brings together all the legal and regulatory changes that will affect the investment banking industry in the postcredit crisis world, explaining the new principles, processes and regulatory structures for those working in the institutions and their legal advisors.

  • Explains how the transition from the Financial Services Authority to the new financial services regulatory bodies will impact on investment banking
  • Deals with all types of investment banking transactions, including equity capital markets, derivatives, loan markets and short selling
  • Covers the practical impact of the Vickers Report and the proposed ring-fencing of retail banking operations in the UK
  • Explains the impact of EU developments, including MiFID II and the Market Abuse Directive Review
  • Discusses the practical implications of the Basel III capital adequacy and liquidity requirements
  • Gives 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
  • Looks at The UK Corporate Governance Code and other governance developments

Subjects:
Banking and Finance
Contents:
The regulatory landscape and the role and statutory powers of the regulators
Governance and senior management
Uncleared derivatives
Derivatives clearing
Securities markets, clearing and settlement
Short selling
Market abuse regime
Prospectus Directive
Loan markets
Impact of Dodd Frank outside the US
Equity capital markets
Client assets
Conflicts and confidential information.

Series: The City Library

Cover of A Practitioner's Guide to the UK Financial Services Rulebooks
A Practitioner's Guide to the UK Financial Services Rulebooks 8th ed
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414123373
To be published December 2024
Sweet & Maxwell Ltd
£225.00
Cover of A Practitioner's Guide to the UK Financial Services Rulebooks (eBook)
A Practitioner's Guide to the UK Financial Services Rulebooks 8th ed (eBook)
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414123397
To be published December 2024
Sweet & Maxwell Ltd
£202.50
(ProView)
Pre‑Order
Cover of A Practitioner's Guide to the UK Financial Services Rulebooks (Book & eBook Pack)
A Practitioner's Guide to the UK Financial Services Rulebooks 8th ed (Book & eBook Pack)
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414123380
To be published December 2024
Sweet & Maxwell Ltd
£248.65
(ProView)
Pre‑Order
Cover of A Practitioner's Guide to the Law and Regulation of Market Abuse (eBook)
A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed (eBook)
Edited by: Karen Anderson, Andrew Procter
ISBN 9780414102293
Published September 2022
Sweet & Maxwell Ltd
£234.00
(ProView)
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Cover of A Practitioner's Guide to the Law and Regulation of Market Abuse
A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed
Edited by: Karen Anderson, Andrew Procter
ISBN 9780414102255
Published September 2022
Sweet & Maxwell Ltd
£234.00
Cover of A Practitioner's Guide to the Law and Regulation of Market Abuse (Book & eBook Pack)
A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed (Book & eBook Pack)
Edited by: Karen Anderson, Andrew Procter
ISBN 9780414102279
Published September 2022
Sweet & Maxwell Ltd
£304.00
(ProView)
Buy
Cover of A Practitioner's Guide to Trade and Commodity Finance (Book & eBook Pack)
A Practitioner's Guide to Trade and Commodity Finance 2nd ed (Book & eBook Pack)
Edited by: Geoffrey Wynne
ISBN 9780414087552
Published December 2021
Sweet & Maxwell Ltd
£249.00
(ProView)
Buy
Cover of A Practitioner's Guide to Trade and Commodity Finance (eBook)
A Practitioner's Guide to Trade and Commodity Finance 2nd ed (eBook)
Edited by: Geoffrey Wynne
ISBN 9780414088313
Published December 2021
Sweet & Maxwell Ltd
£191.00
(ProView)
Buy
Cover of A Practitioner's Guide to Trade and Commodity Finance
A Practitioner's Guide to Trade and Commodity Finance 2nd ed
Edited by: Geoffrey Wynne
ISBN 9780414081017
Published December 2021
Sweet & Maxwell Ltd
£191.00
Cover of A Practitioner's Guide to the Regulation of Insurance
A Practitioner's Guide to the Regulation of Insurance 6th ed
Edited by: Charles Rix
ISBN 9780414075702
Published December 2020
Sweet & Maxwell Ltd
£205.00
Cover of A Practitioner's Guide to The AIM Rules
A Practitioner's Guide to The AIM Rules 8th ed
Edited by: Tom Nicholls
ISBN 9780414077249
Published October 2020
Sweet & Maxwell Ltd
£225.00
Cover of A Practitioner's Guide to the FCA Listing Regime 2019/2020
A Practitioner's Guide to the FCA Listing Regime 2019/2020
Nike Trost, Tom Soden, Michael Bloch, Anne Kirkwood, Linda Main, et al
ISBN 9780414071704
Published November 2019
Sweet & Maxwell Ltd
£195.00
Cover of A Practitioner's Guide to the City Code on Takeovers and Mergers 2019/2020
A Practitioner's Guide to the City Code on Takeovers and Mergers 2019/2020
Simon Lindsay, Piers Prichard Jones, Rob Innes, Adams Nick McGaffin, et al
ISBN 9780414071711
Published August 2019
Sweet & Maxwell Ltd
£213.00
Cover of A Practitioner's Guide to Directors' Duties and Responsibilities
A Practitioner's Guide to Directors' Duties and Responsibilities 6th ed
Edited by: Tim Boxell
ISBN 9780414056992
Published July 2019
Sweet & Maxwell Ltd
£199.00
Cover of A Practitioner's Guide to the UK Financial Services Rulebooks (Book & eBook Pack)
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed (Book & eBook Pack)
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414072763
Published February 2019
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to the UK Financial Services Rulebooks (eBook)
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed (eBook)
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414072770
Published February 2019
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to the UK Financial Services Rulebooks
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed
Edited by: Hywel Jenkins, Cat Dankos
ISBN 9780414056978
Published February 2019
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to MiFID II
A Practitioner's Guide to MiFID II 3rd ed
Edited by: Jonathan Herbst, Simon Lovegrove
ISBN 9780414065727
Published February 2018
Sweet & Maxwell Ltd
£253.00
Cover of A Practitioner's Guide to Syndicated Lending
A Practitioner's Guide to Syndicated Lending 2nd ed
Edited by: Andrew Shutter
ISBN 9780414065390
Published November 2017
Sweet & Maxwell Ltd
£265.00
Cover of US Regulation for Asset Managers Outside the United States
US Regulation for Asset Managers Outside the United States 2nd ed
Edited by: Jack Murphy, Karen Anderberg, David Vaughan
ISBN 9780414031968
Published September 2017
Sweet & Maxwell Ltd
£182.00
Cover of Consumer Financial Services Complaints and Compensation
Consumer Financial Services Complaints and Compensation 2nd ed
Adam Samuel
ISBN 9780414034044
Published July 2017
Sweet & Maxwell Ltd
£210.00
Cover of A Practitioner's Guide to the Law and Regulation of Market Abuse
A Practitioner's Guide to the Law and Regulation of Market Abuse 2nd ed
Karen Anderson, Andrew Procter, Jonathan Goodliffe
ISBN 9780414055988
Published December 2016
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Banking Regulation: Mastering the New Regulatory Landscape
A Practitioner's Guide to Banking Regulation: Mastering the New Regulatory Landscape
Edited by: Richard Barfield
ISBN 9780414061286
Published November 2016
Sweet & Maxwell Ltd
£222.00
Cover of A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms
A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms
Edited by: Peter Snowdon, Simon Lovegrove, Walshe
ISBN 9780414050730
Published June 2016
Sweet & Maxwell Ltd
£206.00
Cover of A Practitioner's Guide to Solvency II
A Practitioner's Guide to Solvency II
Geoffrey Maddock
ISBN 9780414054851
Published April 2016
Sweet & Maxwell Ltd
£241.00
Cover of A Practitioner's Guide to UK Money Laundering Law and Regulation
A Practitioner's Guide to UK Money Laundering Law and Regulation 3rd ed
Edited by: Ben Kingsley
ISBN 9780414052574
Published December 2015
Sweet & Maxwell Ltd
£222.00
Cover of A Practitioner's Guide to Alternative Investment Funds
A Practitioner's Guide to Alternative Investment Funds 3rd ed
Timothy Spangler
ISBN 9780414034006
Published September 2015
Sweet & Maxwell Ltd
£218.00
Cover of A Practitioner's Guide to MiFID II: The Markets in Financial Instruments Directive
A Practitioner's Guide to MiFID II: The Markets in Financial Instruments Directive 2nd ed
Edited by: Jonathan Herbst
ISBN 9780414026858
Published March 2015
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to The AIM Rules
A Practitioner's Guide to The AIM Rules 7th ed
Edited by: Tom Nicholls
ISBN 9780414034020
Published September 2014
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to the Regulation of Insurance
A Practitioner's Guide to the Regulation of Insurance 5th ed
Edited by: John Young
ISBN 9780414028357
Published August 2014
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Financial Services Investigations and Enforcement
A Practitioner's Guide to Financial Services Investigations and Enforcement 3rd ed
Edited by: Angela Hayes, Carlos Conceicao
ISBN 9780414027565
Published March 2014
Sweet & Maxwell Ltd
£234.00
Cover of Business Services, Partnering and Outsourcing Contracts: A Practical Guide
Business Services, Partnering and Outsourcing Contracts: A Practical Guide 4th ed
Amanda Lewis
ISBN 9780414024335
Published December 2012
Sweet & Maxwell Ltd
£210.00
Practitioner's Guide to European Bond Markets
Edited by: Nick CollierHead of Regulatory Policy, ICMA, Michael RaffanFreshfields Bruckhaus Deringer
ISBN 9781905121168
Published November 2012
Sweet & Maxwell Ltd
Publication Abandoned
Cover of A Practitioner's Guide to Inside Information
A Practitioner's Guide to Inside Information 2nd ed
Brian McDonnell
ISBN 9780414026988
Published September 2012
Sweet & Maxwell Ltd
£234.00
Cover of A Practitioner's Guide to Trade and Commodity Finance
A Practitioner's Guide to Trade and Commodity Finance
Edited by: Geoffrey Wynne
ISBN 9780414045392
Published August 2012
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Basel III and Beyond
A Practitioner's Guide to Basel III and Beyond
Edited by: Richard Barfield
ISBN 9780414045385
Published June 2011
Sweet & Maxwell Ltd
£253.00
Cover of A Practitioner's Guide to Derivatives
A Practitioner's Guide to Derivatives
Edited by: Jonathan Marsh
ISBN 9780414043053
Published November 2010
Sweet & Maxwell Ltd
£253.00
Cover of A Practitioner's Guide to Alternative Investment Funds
A Practitioner's Guide to Alternative Investment Funds 2nd ed
Timothy Spangler
ISBN 9780414043107
Published October 2010
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Authorised Investment Funds
A Practitioner's Guide to Authorised Investment Funds
Charlotte Hill
ISBN 9781905121403
Published June 2010
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Syndicated Lending
A Practitioner's Guide to Syndicated Lending
Edited by: Andrew Shutter
ISBN 9781905121366
Published January 2010
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Private Equity
A Practitioner's Guide to Private Equity
Edited by: Mark Soundy, Timothy Spangler, Alison Hampton
ISBN 9781905121342
Published July 2009
Sweet & Maxwell Ltd
£317.00
Cover of Outsourcing Contracts: A Practical Guide
Outsourcing Contracts: A Practical Guide 3rd ed
Amanda Lewis
ISBN 9781905121373
Published July 2009
Sweet & Maxwell Ltd
Out of print
Cover of A Practical Guide to PPP in the United Kingdom
A Practical Guide to PPP in the United Kingdom
Edited by: Jason Radford, Darryl Murphy
ISBN 9781905121236
Published May 2009
Sweet & Maxwell Ltd
£210.00
Cover of A Practitioner's Guide to European Leveraged Finance
A Practitioner's Guide to European Leveraged Finance
Edited by: Christopher Hall
ISBN 9781905121359
Published April 2009
Sweet & Maxwell Ltd
£269.00
Cover of A Practitioner’s Guide to Corporate Restructuring
A Practitioner’s Guide to Corporate Restructuring
Edited by: Lyndon Norley, Peter Marshall, Houlihan Lokey, Joseph Swanson
ISBN 9781905121311
Published August 2008
Sweet & Maxwell Ltd
£269.00
Cover of A Practical Guide to PPP in Europe
A Practical Guide to PPP in Europe 2nd ed
Edited by: Maurice Button
ISBN 9781905121298
Published June 2008
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner’s Guide to Takeovers and Mergers in the European Union
A Practitioner’s Guide to Takeovers and Mergers in the European Union 5th ed
Edited by: City & Financial
ISBN 9781905121304
Published June 2008
Sweet & Maxwell Ltd
£317.00
Cover of Practitioner's Guide to Mortgage Regulation
Practitioner's Guide to Mortgage Regulation
Christopher Cummings
ISBN 9781905121243
Published July 2007
Sweet & Maxwell Ltd
£187.00
Cover of A Practitioner's Guide to FSA Investigations and Enforcement
A Practitioner's Guide to FSA Investigations and Enforcement 2nd ed
Edited by: Angela Hayes, Calum Burnett
ISBN 9781905121137
Published May 2007
Sweet & Maxwell Ltd
Out of print
Cover of US Securities Laws and Foreign Private Issuers
US Securities Laws and Foreign Private Issuers
Edited by: Brian Lane
ISBN 9781905121144
Published April 2007
Sweet & Maxwell Ltd
£253.00
Cover of A Practical Guide to PPP in Europe
A Practical Guide to PPP in Europe
Edited by: Maurice Button
ISBN 9781905121090
Published October 2006
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to EU Financial Services Directives
A Practitioner's Guide to EU Financial Services Directives 2nd ed
Michael Raffan
ISBN 9781905121076
Published September 2006
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Inside Information: Managing the Legal and Regulatory Risks
A Practitioner's Guide to Inside Information: Managing the Legal and Regulatory Risks
Jonathan Marsh, Brian McDonnell
ISBN 9781905121052
Published June 2006
Sweet & Maxwell Ltd
Out of print
Cover of Practitioner's Guide to Securitisation
Practitioner's Guide to Securitisation
Peter Jeffrey
ISBN 9781898830788
Published January 2006
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Takeovers and Mergers in the European Union 4th ed
Neil Harvey
ISBN 9781905121069
Published October 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to FSA Investigation and Enforcement
Edited by: Angela Hayes, Calum Burnett
ISBN 9781898830931
Published September 2005
Sweet & Maxwell Ltd
Out of print
Cover of Pensions Risk and Strategy
Pensions Risk and Strategy
Jonathan Seres, Feargus Mitchell
ISBN 9781898830757
Published August 2005
Sweet & Maxwell Ltd
£187.00
Cover of A Practitioner's Guide to the Basel Accord
A Practitioner's Guide to the Basel Accord
John Tattersall
ISBN 9781898830979
Published March 2005
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to The FSA Regulation of Lloyd's
A Practitioner's Guide to The FSA Regulation of Lloyd's 2nd ed
Cheryl Ronaldson
ISBN 9781898830870
Published January 2005
Sweet & Maxwell Ltd
Out of print
Cover of International Insider Dealing
International Insider Dealing
Mark Stamp, Tom Jaggers
ISBN 9781898830801
Published January 2005
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to Audit regulation in the UK
A Practitioner's Guide to Audit regulation in the UK
Graham Ward
ISBN 9781898830894
Published December 2004
Sweet & Maxwell Ltd
Out of print
Cover of Practical Company Law and Corporate Transactions
Practical Company Law and Corporate Transactions
Mark Stamp, James Dawson, Matthew Elliot
ISBN 9781898830733
Published November 2004
Sweet & Maxwell Ltd
Out of print
Cover of Financial Promotion - A Practitioner's Guide
Financial Promotion - A Practitioner's Guide
Tamsin Little
ISBN 9781898830726
Published October 2004
Sweet & Maxwell Ltd
Out of print
Cover of A Practical Guide to the FSA's Regulation of Mortgages
A Practical Guide to the FSA's Regulation of Mortgages
Chris Cummings
ISBN 9781898830849
Published March 2004
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Company Law Review
Jonathan Rushworth
ISBN 9781898830535
Published June 2003
Sweet & Maxwell Ltd
Out of print
Cover of A Practitioner's Guide to International Money Laundering Law and Regulation
A Practitioner's Guide to International Money Laundering Law and Regulation
Edited by: Andrew Clark, Peter Burrell
ISBN 9781898830689
Published April 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives
City & Financial
ISBN 9781898830696
Published March 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Hong Kong Takeover Code
Ashley Alder
ISBN 9781898830603
Published November 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Acquisition of Companies in the United States
Roberta Karmel
ISBN 9781898830665
Published September 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Takeovers and Mergers in the Emerging EU: Accession and Candidate States
Damien Simenov
ISBN 9781898830610
Published September 2002
Sweet & Maxwell Ltd
Out of print
Public Company Takeovers in Germany
Stephan Klaus-Dieter
ISBN 9781898830658
Published July 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the FSA Regulation of Lloyd's
Cheryl Ronaldson
ISBN 9781898830467
Published June 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Partnership and LLP Law and Regulation
Tony Sacker
ISBN 9781898830566
Published January 2002
Sweet & Maxwell Ltd
Out of print
Cover of Venture Capital and Private Equity: A Practitioner's Manual
Venture Capital and Private Equity: A Practitioner's Manual
Graham Spooner
ISBN 9781898830528
Published December 2001
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of the Internet 2nd ed
City & Financial
ISBN 9781898830511
Published April 2001
Sweet & Maxwell Ltd
Out of print