Global securities markets : navigating the world's exchanges and OTC markets /
"With more than 190 countries in the world, 320 distinct legal jurisdictions, 110 securities exchanges, 40 derivatives exchanges and a withering notional value of over-the-counter derivatives and alternative investments regularly bought and sold, investing in the global securities markets poses...
| Κύριος συγγραφέας: | |
|---|---|
| Μορφή: | Ηλ. βιβλίο |
| Γλώσσα: | English |
| Έκδοση: |
Hoboken, N.J. :
John Wiley & Sons,
2011.
|
| Σειρά: | Wiley finance series ;
670. |
| Θέματα: | |
| Διαθέσιμο Online: | Full Text via HEAL-Link |
Πίνακας περιεχομένων:
- Front Matter
- Fundamental Concepts
- The Growth of Exchanges around the Globe and the Development of Screen-Based Trading
- The Paper Crunch and Development of New Institutions
- Central Counterparties and Depositories
- Major Worldwide Exchanges and Their Associated Depositories, and Practical Tips on Execution, Clearance, and Custody in Various Regions around the Globe
- Legal Framework of the World Markets
- Transfer of Securities and Perfection of Collateral
- Margin
- Short Selling and Stock Loans
- Derivatives
- Prime Brokerage
- Managed Accounts
- International Compliance
- Money Laundering
- SIPC and Other Investment Protection Schemes around the World
- Risk Management
- Conclusion
- Afterword
- Glossary
- Further Reading
- About the Author
- Index.
- Machine generated contents note: ch. 1 Fundamental Concepts
- Legal Definition of Security
- North versus South (Debt versus Equity)
- East versus West (Derivatives versus Funds)
- Investors
- Brokers, Banks, and Advisors
- Physical Securities
- Agency
- Purchase and Sale of Securities and the Development of Exchanges
- ch. 2 The Growth of Exchanges around the Globe and the Development of Screen-Rased Trading
- ch. 3 The Paper Crunch and Development of New Institutions
- The Trust
- Central Securities Depository
- Netting
- Central Counterparties
- ch. 4 Central Counterparties and Depositories
- The Depository Trust and Clearing Corporation
- Euroclear
- ISINs
- Access to Information Regarding Euroclear Securities
- Crest
- ch. 5 Major Worldwide Exchanges and Their Associated Depositories, and Practical Tips on Execution, Clearance, and Custody in Various Regions around the Globe.
- Practical Commentary Concerning Trading, Clearing, and Custody in Europe
- Practical Commentary Concerning Trading, Clearing, and Custody in South America
- Practical Commentary Concerning Trading, Clearing, and Custody in the Middle East and Africa
- Practical Commentary Concerning Trading, Clearing, and Custody in Asia
- Passenger Markets
- Case Study Relating to Passenger Markets
- ch. 6 Legal Framework of the World Markets
- A Brief History of U.S. Regulation
- The New Deal and Glass-Steagall
- The Panic of 2008 in Context
- The Pillars of U.S. Federal Securities Law
- A Recent History of European Legislation
- A Brief Comparison of U.S. Laws and EU Directives
- ch. 7 Transfer of Securities and Perfection of Collateral
- Custody and Root of Title Internationally
- ch. 8 Margin
- ch. 9 Short Selling and Stock Loans
- ch. 10 Derivatives
- The OTC Derivative Markets
- Legal Definition of Derivatives
- What Is a CDS?
- Contract for Difference (CFD)
- Legal and Regulatory Framework of CFDs
- The Outlook for CFDs.
- Ch. 11 Prime Brokerage
- ch. 12 Managed Accounts
- History of Rule 3a-4
- Applicability of the Advisers Act
- Current SMA Exam Issues
- Issues for the Future
- ch. 13 International Compliance
- The Four Horsemen of International Compliance
- Foreign Exchange Controls
- Tax Reporting
- Laws of Inheritance
- Non-Resident Alien Estate Tax
- Compliance Case Study
- ch. 14 Money Laundering
- Anti-Money Laundering Case Study
- ch. 15 SIPC and Other Investment Protection Schemes around the World
- Protection of Customer Assets by SIPC and Excess SIPC Coverage
- Regulatory Obligations on Custody of Customer Funds and Securities
- ch. 16 Risk Management.
