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Understanding the Financial Conduct Authority
The Financial Conduct Authority began its work in April 2013 with a post-crisis mandate to take pre-emptive action against firms. When problems occur, the FCA increasingly takes disciplinary action against individual senior managers as well as against the firm. Most of these cases are tragedies – if the individuals concerned understood the likely outcome they would have behaved differently. This book sets out the psychology of the FCA and covers the ‘hot spots’ that senior management and their compliance officers need to get right. The key to the FCA approach is ‘conduct risk’. This deliberately undefined term includes anything that might cause a problem to the FCA in the achieveme...
Hedge Funds
The number of hedge funds and the assets they have under management has increased in recent years. This increase became significantly more pronounced after the market downturn in 2001. Hedge funds can help investors to benefit from volatile and even sinking stock markets. However, despite the prominent use of the word "hedge" in their name, such funds rarely offer a safe hedge against risk, given that they depend heavily on skill-based investment techniques and often invest in highly speculative financial instruments. Nevertheless, such funds received no specific treatment in the legislation of such major markets as Germany and the United States for years. Against the backdrop of internation...
Pouring Old Wine Into New Skins?
Asset management has quickly become one of the European Commission's key points on the post- Financial Services Action Plan (FSAP) agenda. The combination of Europe's demographic decline and the poor state of public finances means that asset management will play an increasingly important role in securing retirement income for the masses, as well as in channeling personal savings to productive investments. At the same time, the internal market for asset management is a project still very much under construction. While the commission's work has largely focused on supply-side considerations with a view to improving overall market integration and efficiency, this report tackles some key demand-side issues. The authors take a longer-term approach to the critical challenges that will arise following release of the European Commission's White Paper in the fall of 2006.
European Innovation
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Research Handbook on Hedge Funds, Private Equity and Alternative Investments
This unique and detailed Handbook provides a comprehensive source of analysis and research on alternative investment funds in the EU, the US and other leading jurisdictions. Expert contributors offer an unparalleled perspective on the contemporary alternative funds industry, the main areas of regulatory policy concern surrounding its activities, and the role that alternative funds have played in recent financial crises, as well as an account of the rules governing their operation in selected jurisdictions. Providing insight and analysis of the contemporary investment funds industry at a time of crisis and transition, the Research Handbook on Hedge Funds, Private Equity and Alternative Investments will be a valuable tool for scholars, practitioners and policymakers alike.
Records and Information Management
This book's authoritative blend of theory and practice makes it a matchless resource for everyone in the archives and records management field.
The Global Insurance Market and Change
This book focuses on the global landscape in which insurance is transacted, and where it is evolving, driven from within by transformative technologies and externally by the necessity to address risks like climate change and health crises, such as the COVID-19 pandemic. It discusses the dynamic challenges and opportunities that lie ahead for the industry in areas such as on-demand insurance, embedded insurance, parametric insurance, autonomous vehicles, the rise of fintech, the cyber risk landscape and through initiatives driven by distributed ledger technology or blockchain solutions. Moreover, it covers the major external challenges confronting the global insurance market, such as the grow...
Typizität als Strukturprinzip des Privatrechts
Sachen und die an ihnen bestehenden Rechte, aber auch Wertpapiere sind ubertragbare Guter par excellence . Im Sachenrecht begegnen uns dabei heute weltweit mehr oder weniger streng standardisierte Typen bestimmter Rechte. Im Wertpapierrecht lasst sich bei den Wertpapieren des Kredit- und Zahlungsverkehrs sowie den Wertpapieren des Warenverkehrs eine ahnliche Entwicklung hin zu gesteigerter Typizitat beobachten. Nicht in dieselbe Richtung verlief in den letzten Jahrzehnten demgegenuber die Entwicklung der Wertpapiere des Kapitalmarkts. Dieser Befund lasst sich dadurch erklaren, dass die Wertpapiere des Kapitalmarkts versuchen, die positiven Wirkungen von Typizitat mit alternativen Mechanismen zu erreichen. Allerdings scheint dies nur unzureichend zu gelingen, weshalb sich eine behutsame Steigerung von Typizitat auch bei den Kapitalmarktpapieren empfiehlt.
創新與規範
本書以證券公司各類業務為綱，作者在歸納各類業務中基本法律關係的基礎上，結合多年法律實務經驗，深入研究各類業務合約中的法律風險點，視角獨特。本書雖然沒有在證券法理論問題上耗費過多筆墨，但對於具體業務中涉及的法學理論問題仍進行了清楚的介紹，使得讀者能夠對該問題有所瞭解；對於如何從具體業務角度理解和適用法律，則作了深入探討；對於立法中存在的問題也提出了一些有價值的建議。 本書以證券業務合約為主軸，不拘泥於證券法律，特別注意到了相關部門法在證券業務中的適用問題。作者對於合...
