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...

Πλήρης περιγραφή

Λεπτομέρειες βιβλιογραφικής εγγραφής
Κύριος συγγραφέας: Arnett, George W., III
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.