Capital markets and securities law and regulation Books
Columbia University Press How They Got Away With It
Book SynopsisTrade ReviewWe have clearly not learned the lessons of past financial debacles, a central one being that crime has played a significant role in them. Unlike traditional economic and legal analyses, this volume starts from the (correct) premise that criminal offending was a central phenomenon in the meltdown. Its contents provide diverse and penetrating analyses of how fraud occurred and how it might best be prevented. This work provides an excellent foundation for further academic research and needs to be on the desk of every legislator dealing with financial regulation. -- Henry N. Pontell, University of California, Irvine, coauthor of Profit Without Honor: White-Collar Crime and the Looting of America Criminology failed the challenges of the global financial crisis. In this book, leading criminologists put this right by explaining impunity for the crimes of financial capitalism. It is rich with insight on how Wall Street games regulation. When Goldman Sachs takes fat fees to help Greece conceal its debt, is fraud involved? Are millions of unemployed Greeks victims of fraud? Are we all? What of Goldman Sachs then placing bets on the failure of the Greek economy? These are the questions considered in this important work. -- John Braithwaite, Australian National University ...this book is a valuable resource for details about the financial crisis. Library JournalTable of ContentsAcknowledgmentsIntroductionPart I: Roots of the Crisis 1. Wall Street: Crime Never Sleeps David O. Freidrichs 2. The Logics of Finance: Abuse of Power and Systemic Crisis Saskia Sassen 3. America's Ponzi Culture Susan Will 4. Bernie Madoff Jock YoungPart II: Enablers of Fraud 5. Unaccountable External Auditors and Their Role in the Economic Meltdown Gilbert Geis 6. And Some with a Fountain Pen: Mortgage Fraud Subprime Bubble Harold C. Barnett 7. Generating the Alpha Return: How Ponzi Schemes Lure the Unwary in an Unregulated Market David ShapiroPart III: Perverted Justice 8. The Technological Advantages of Stock Market Traders Laureen Snider 9. Why CEOs Are Able to Loot with Impunity-and Why It Matters William K. Black 10. The Facade of Enforcement: Goldman Sachs the Politics of Blame Justin O'BrienPart IV: Perspectives from Afar 11. Reappraising Regulation: The Politics of "Regulatory Retreat" in the United Kingdom Steve Tombs and David Whyte 12. How They Still Try to Get Away with It: Crime in the Dutch Real Estate Sector Before and After the Crisis Hans Nelen and Luuk Ritzen 13. Economic and Financial Criminality in Portugal Rita Faria 14. Greece "For Sale": Casino Economy and State-Corporate Crime Sophia Vidali 15. Financial Fraud in China: A Structural Examination of Law and Law Enforcement Hongming ChengEpilogue Can They Still Get Away with It? Appendix A Short (Global) History of Financial Meltdowns Compiled by Alex Holden Contributors Index
£23.80
Edward Elgar Publishing Ltd EU Market Abuse Regulation: A Commentary on
Book SynopsisThis comprehensive Commentary examines the implications of the EU’s Market Abuse Regulation, introduced following the 2008 financial crisis after gaps were identified in the existing regulatory framework. It explores whether and how the Regulation achieves its aims of preserving the integrity of financial markets by preventing insider dealing and market manipulation, providing a harmonised legal framework, and increasing legal certainty for all market participants.Key features include: in-depth contributions from leading scholars and practitioners in the field practical discussion of the interpretation and implementation of the Regulation, including pertinent national and European case law systematic article-by-article analysis of the Regulation, illuminating the purpose of each provision as well as providing relevant historical and legal context Scholars of EU financial and banking law, particularly those with an interest in market abuse and financial crime and corruption, will find this Commentary a valuable resource. It will also be of great practical benefit for practitioners and in-house counsel working for or with banks, investment firms and other financial institutions.Trade Review‘This book provides an exhaustive analysis of the Market Abuse Regulation, which, despite Brexit, continues to be of core concern to practitioners in this area, for two reasons. First, the Regulation continues as part of domestic UK law as “retained EU law” and, second, its status in relation to EU financial markets remains undisturbed. This book, written by a distinguished group of scholars, lays out, article by article, a complete analysis of the Regulation and its now extensive accompanying pieces of secondary legislation and CJEU decisions. It brings together in a single volume a clear and incisive assessment of all the issues arising, and likely to arise, in the regulation of this notoriously challenging area of market behaviour.’ -- Paul L. Davies QC, University of Oxford, UK‘This is an invaluable guide to the Market Abuse Regulation. It is well structured and formatted allowing the reader to access the relevant information with ease. It provides useful information on the context and historical development of the various provisions and highlights the significant changes to the existing law. It identifies the objectives of each of the Articles providing links to relevant literature, caselaw, related legislation and guidance. The authors are experts in their fields and together they provide insights into the salient academic, public service, public policy, regulatory, jurisprudential, and practical dimensions of the Regulation. Although particular reference is made to the application of the market abuse regime in Austria, France, Germany and the UK, this text will provide a valuable resource to academics, regulators and practitioners in all Member States seeking to understand and implement the Market Abuse Regulation.’ -- Blanaid Clarke, Trinity College Dublin, Ireland‘If you have any question about the EU’s Market Abuse Regulation and its interpretation, look no further. This book provides a profound and authoritative analysis of each of its sections, as well as an excellent survey of private enforcement of capital markets law in Europe. It will be very useful to anyone working in European capital markets law.’ -- Martin Gelter, Fordham University School of Law, USTable of ContentsContents: 1 Subject matter 1 Elena Guggenberger 2 Scope 4 Elena Guggenberger 3 Definitions 10 Elena Guggenberger 4 Notifications and list of financial instruments 29 Elena Guggenberger 5 Exemption for buy-back programmes and stabilisation 33 Susanne Kalss 6 Exemption for monetary and public debt management activities and climate policy activities 52 Susanne Kalss 7 Inside information 56 Mario Hössl-Neumann and Ulrich Torggler 8 Insider dealing 82 Martin Winner 9 Legitimate behaviour 116 Martin Winner 10 Unlawful disclosure of inside information 139 Mario Hössl-Neumann and Ulrich Torggler 11 Market soundings 154 Mario Hössl-Neumann and Ulrich Torggler 12 Market manipulation 169 Susanne Kalss 13 Accepted market practices 182 Susanne Kalss 14 Prohibition of insider dealing and of unlawful disclosure of inside information 190 Martin Winner 15 Prohibition of market manipulation 195 Martin Oppitz 16 Prevention and detection of market abuse 199 Florian Kusznier 17 Public disclosure of inside information 203 Susanne Kalss and Clemens Hasenauer 18 Insider lists 243 Ursula Rath 19 Managers’ transactions 261 Susanne Kalss and Clemens Hasenauer 20 Investment recommendations and statistics 297 Martin Oppitz 21 Disclosure or dissemination of information in the media 303 Martin Oppitz 22 Competent authorities 309 Peter Jedlicka 23 Powers of competent authorities 317 Peter Jedlicka 24 Cooperation with ESMA 327 Alfred Schramm 25 Obligation to cooperate 331 Alfred Schramm 26 Cooperation with third countries 341 Alfred Schramm 27 Professional secrecy 348 Alfred Schramm 28 Data protection 352 Alfred Schramm 29 Disclosure of personal data to third countries 353 Alfred Schramm 30 Administrative sanctions and other administrative measures 354 Michael Rohregger and Nina Palmstorfer 30A Appendix to Art 30 MAR – Private enforcement 360 Chris Thomale 31 Exercise of supervisory powers and imposition of sanctions 414 Michael Rohregger and Charlotte Pechhacker 32 Reporting of infringements 418 Michael Rohregger and Charlotte Pechhacker 33 Exchange of information with ESMA 424 Michael Rohregger and Charlotte Pechhacker 34 Publication of decisions 428 Michael Rohregger and Nina Palmstorfer 35 Exercise of the delegation 432 Elisabeth Drach 36 Committee procedure 435 Elisabeth Drach 37 Repeal of Directive 2003/6/EC and its implementing measures 437 Elisabeth Drach 38 Report 439 Elisabeth Drach 39 Entry into force and application 441 Elisabeth Drach Annex I 443 Annex II 445 Index 450
£192.85
Oxford University Press Inc Investment Arbitration and StateDriven Reform New
Book SynopsisTrade ReviewInvestment Arbitration and State-Driven Reform...under review provide fruitful, and complementary, insights as we collectively consider the path ahead. * Olabisi D. Akinkugbe, The American Journal of International Law *Table of ContentsAcknowledgments List of Abbreviations Table of Cases Introduction Part I: State-Driven Reform Chapter 1. Treaties as Data Chapter 2. Change as Gap-filling Chapter 3. Evolution as Americanization Part II: New Treaties, Old Outcomes Chapter 4. Reversing Innovation through MFN Chapter 5. Overriding Differences through Custom Chapter 6. Perpetuating Mistakes through Precedent Part III: New Treaties as Anchor Points Chapter 7. Forward-Looking Interpretation Chapter 8. Data-Driven Renegotiation Chapter 9. Tax-Style Multilateralization
£108.13
Oxford University Press, USA European Securities Law
Book Synopsis
£390.55
Oxford University Press Principles of Corporate Finance Law
Book SynopsisCorporate finance theory seeks to understand how incorporated firms address the financial constraints that affect their investment decisions. This is achieved by using varied financial instruments that seek to give holders different claims on the firm''s assets. Recent scholarship in this area has highlighted the critical importance of the legal environment in explaining the choices that companies make about their capital structure. This book combines company law, capital markets law, and aspects of commercial and insolvency law to give readers a detailed understanding of the legal and regulatory issues relating to corporate finance. Informed by insights from theoretical and empirical work, the book examines from a legal perspective the key elements of corporate financing structures and capital markets in the UK. The authors'' practical experience of transactions and regulatory issues ensures that thorough scholarly inquiry and critical reflection are complemented by an assured understanding of the interface between legal principles and rules as they are documented and in their actual operation. Key developments covered in this third edition include the post-Brexit adaptation of UK company law and capital market regulation, important new cases on parent company liability in tort, creditor-facing duties of directors, issuer and director liability for misleading statements to the market, alternatives to public market financing, and recent changes in the practice of debt finance such as the emergence of non-bank lenders.
£155.00
Oxford University Press Principles of Corporate Finance Law
Book SynopsisCorporate finance theory seeks to understand how incorporated firms address the financial constraints that affect their investment decisions. This is achieved by using varied financial instruments that seek to give holders different claims on the firm''s assets. Recent scholarship in this area has highlighted the critical importance of the legal environment in explaining the choices that companies make about their capital structure. This book combines company law, capital markets law, and aspects of commercial and insolvency law to give readers a detailed understanding of the legal and regulatory issues relating to corporate finance. Informed by insights from theoretical and empirical work, the book examines from a legal perspective the key elements of corporate financing structures and capital markets in the UK. The authors'' practical experience of transactions and regulatory issues ensures that thorough scholarly inquiry and critical reflection are complemented by an assured underst
£56.99
Oxford University Press Prospectus Liability Rules in Europe and Beyond
Book Synopsis
£118.75
The University of Chicago Press Wasting a Crisis
Book SynopsisOffers persuasive research to show that the almost universally accepted narrative of market failure - broadly similar across financial crises - is formulated by political actors hoping to deflect blame from prior policy errors. It shows that lax regulation was not a substantial cause of the financial problems of the Great Depression.Trade Review"Mahoney casts the foundational securities laws of the New Deal in a completely different light, going behind the assertions of contemporary commentators and providing compelling evidence that we ought to question their accuracy. This is a truly important book and a timely addition of a powerful contrarian view to today's policy discussions that tend to have a one-sided focus on the need for expanded regulation without regard to whether there is any supporting evidence for proposed policies." (Roberta Romano, Yale Law School)
£76.00
The University of Chicago Press Wasting a Crisis
Book SynopsisThe recent financial crisis led to sweeping reforms that inspired countless references to the financial reforms of the New Deal. Comparable to the reforms of the New Deal in both scope and scale, the 2,300-page Dodd-Frank Act of 2010 the main regulatory reform package introduced in the United States also shared with New Deal reforms the assumption that the underlying cause of the crisis was misbehavior by securities market participants, exacerbated by lax regulatory oversight. With Wasting a Crisis, Paul G. Mahoney offers persuasive research to show that this now almost universally accepted narrative of market failure broadly similar across financial crises is formulated by political actors hoping to deflect blame from prior policy errors. Drawing on a cache of data, from congressional investigations, litigation, regulatory reports, and filings to stock quotes from the 1920s and '30s, Mahoney moves beyond the received wisdom about the financial reforms of the New Deal, showing that lax regulation was not a substantial cause of the financial problems of the Great Depression. As new regulations were formed around this narrative of market failure, not only were the majority largely ineffective, they were also often counterproductive, consolidating market share in the hands of leading financial firms. An overview of twenty-first-century securities reforms from the same analytic perspective, including Dodd-Frank and the Sarbanes-Oxley Act of 2002, shows a similar pattern and suggests that they too may offer little benefit to investors and some measurable harm.
£22.80
Columbia University Press How They Got Away With It
Book SynopsisTrade ReviewWe have clearly not learned the lessons of past financial debacles, a central one being that crime has played a significant role in them. Unlike traditional economic and legal analyses, this volume starts from the (correct) premise that criminal offending was a central phenomenon in the meltdown. Its contents provide diverse and penetrating analyses of how fraud occurred and how it might best be prevented. This work provides an excellent foundation for further academic research and needs to be on the desk of every legislator dealing with financial regulation. -- Henry N. Pontell, University of California, Irvine, coauthor of Profit Without Honor: White-Collar Crime and the Looting of America Criminology failed the challenges of the global financial crisis. In this book, leading criminologists put this right by explaining impunity for the crimes of financial capitalism. It is rich with insight on how Wall Street games regulation. When Goldman Sachs takes fat fees to help Greece conceal its debt, is fraud involved? Are millions of unemployed Greeks victims of fraud? Are we all? What of Goldman Sachs then placing bets on the failure of the Greek economy? These are the questions considered in this important work. -- John Braithwaite, Australian National University ...this book is a valuable resource for details about the financial crisis. Library JournalTable of ContentsAcknowledgmentsIntroductionPart I: Roots of the Crisis 1. Wall Street: Crime Never Sleeps David O. Freidrichs 2. The Logics of Finance: Abuse of Power and Systemic Crisis Saskia Sassen 3. America's Ponzi Culture Susan Will 4. Bernie Madoff Jock YoungPart II: Enablers of Fraud 5. Unaccountable External Auditors and Their Role in the Economic Meltdown Gilbert Geis 6. And Some with a Fountain Pen: Mortgage Fraud Subprime Bubble Harold C. Barnett 7. Generating the Alpha Return: How Ponzi Schemes Lure the Unwary in an Unregulated Market David ShapiroPart III: Perverted Justice 8. The Technological Advantages of Stock Market Traders Laureen Snider 9. Why CEOs Are Able to Loot with Impunity-and Why It Matters William K. Black 10. The Facade of Enforcement: Goldman Sachs the Politics of Blame Justin O'BrienPart IV: Perspectives from Afar 11. Reappraising Regulation: The Politics of "Regulatory Retreat" in the United Kingdom Steve Tombs and David Whyte 12. How They Still Try to Get Away with It: Crime in the Dutch Real Estate Sector Before and After the Crisis Hans Nelen and Luuk Ritzen 13. Economic and Financial Criminality in Portugal Rita Faria 14. Greece "For Sale": Casino Economy and State-Corporate Crime Sophia Vidali 15. Financial Fraud in China: A Structural Examination of Law and Law Enforcement Hongming ChengEpilogue Can They Still Get Away with It? Appendix A Short (Global) History of Financial Meltdowns Compiled by Alex Holden Contributors Index
£73.60
MIT Press Ltd Capital Markets Union and Beyond The MIT Press
Book Synopsis
£49.60
John Wiley & Sons Inc Regulation of Securities Markets and Transactions
Book SynopsisThe ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.Table of ContentsPreface xvii Chapter 1 Regulation 1 Securities and the Public Interest 1 Meaning of ‘‘Security’’ 3 Debt, Equity, and Option Securities 4 Securities Transactions 6 Institutional and Functional Regulation 7 Exclusions and Exemptions 9 Structure of Securities Laws 14 Other Securities Laws 16 Regulatory Objectives 19 Disclosure and Transparency 21 Regulation and Supervision 24 Registration 29 Registration of Securities 30 Registration of Entities and Persons 34 Issuers of Securities 35 Self-Regulatory Organizations 39 Registered Self-Regulatory Organizations 41 Special-Purpose Self-Regulatory Organizations 44 Regulation of Registered Entities and Persons 44 Chapter 2 Regulation of Nonregistered Entities and Persons 62 Introduction 62 Nonsecurities Laws 68 Chapter 3 Accounting and Auditing 78 Introduction 78 Accounting 78 Mark-to-Market Accounting 80 Auditing 81 Objectives-Oriented Rules for Accounting and Auditing 84 Audit Committees 85 Accounting Capital and Regulatory Capital 86 Accountancy Law 87 Chapter 4 Introduction to Notes 88 Public Laws 88 United States Code 89 Code of Federal Regulations 90 Supreme Court Decisions 91 Federal Register 91 SEC Releases 92 Prefixes for SEC Releases 94 Selected Releases by the Securities and Exchange Commission 94 SEC Release 34-16900, 17 JUN 80, 45 FR 41920, 23 JUN 80 94 SEC Release 34-20221, 23 SEP 83, 48 FR 45167, 3 OCT 83 94 SEC Releases 33-7375, 34-38067, and IC-22412, 20 DEC 96, 62 FR 519, 3 JAN 97 95 SEC Release 34-39829, 6 APR 98, 63 FR 17943, 13 APR 98 95 SEC Releases 33-7607, 34-40633, and IC-23520, 3 NOV 98, 63 FR 67331, 4 DEC 98 95 SEC Release 33-7760, 22 OCT 99, 64 FR 61443, 10 NOV 99 95 SEC Releases 33-7801 and 34-42430, 16 FEB 00, 65 FR 8896, 23 FEB 00 95 SEC Release 34-44989, 25 OCT 01, 66 FR 55220, 1 NOV 01 95 SEC Release 34-48545, 25 SEP 03, 68 FR 56656, 1 OCT 03 96 SEC Release 34-51524, 12 APR 05, Administrative Proceeding 3-11892, In the Matter of the New York Stock Exchange Inc. 96 SEC Release 34-51808, 9 JUN 05, 70 FR 37495, 37545, and 37595, 29 JUN 05 (corrected by Release 34-51808A, 28 DEC 05, 71 FR 232, 4 JAN 06) 96 Selected Public Laws 96 Selected United States Code Titles 105 Selected United States Code Sections 105 Selected Code of Federal Regulations Titles 106 Selected Code of Federal Regulations Parts 106 Structure of U.S. Code and Code of Federal Regulations Sections 107 Selected Banking Regulations 109 State Securities Laws 110 Uniform Commercial Code 111 Chapter 5 Notes 112 Chapter 6 Selected Sections from the Financial Regulation Act of 2010 271 Introduction 271 Major Section Headings of the Financial Regulation Act 271 Selected Sections of the Financial Regulation Act 272 Reports Required by the Financial Regulation Act 273 Chapter 7 Sections of Codified Securities Laws 276 Introduction 276 Securities Act (15 USC Sections 77a and following) 277 Trust Indenture Act (15 USC Sections 77aaa and following) 278 Securities Exchange Act (15 USC Sections 78a and following) 279 Securities Investor Protection Act (15 USC Sections 78aaa and following) 281 Investment Company Act (15 USC Sections 80a-1 and following) 281 Investment Advisers Act (15 USC Sections 80b-1 and following) 283 Public Company Accounting Reform and Corporate Responsibility 284 Chapter 8 Organizations 286 Introduction 286 Executive Branch of Government 286 Legislative Branch of Government 287 Judicial Branch of Government 288 Agencies of Government 289 Self-Regulatory Organizations 290 Accounting Principles and Auditing Standards 290 Industry and Professional Associations 291 State-Related Organizations 294 International Organizations 295 Advisory Committees and Informal Groups 298 Appendix A References 301 Appendix B Web Sites by Name 315 Appendix C Web Sites by Function 324 Glossary 334 About the Author 361 Index 363
£56.25
John Wiley & Sons Comparing European and U.S. Securities Regulatio
Book SynopsisCompares the EU and US securities regulations, and specifically the Market in Financial instruments Directive (MiFID) with the corresponding US regulations. This title focuses on the regulatory and supervisory framework, trading venues, and the provision of investment services.
£23.36
Edward Elgar Publishing Ltd Artificial Intelligence and Market Abuse
Book SynopsisArtificial Intelligence and Market Abuse Legislation presents a wide-reaching interdisciplinary examination of the impact of AI on the EU Market Abuse Regulation (MAR).Trade Review‘Written by a renowned academic expert in the field of capital markets regulation, this book safely guides the reader through the way by which the application and enforcement of the key source of EU insider trading and market manipulation legislation – namely the 2014 “Market Abuse Regulation” – have been affected by developments in the field of artificial intelligence (AI). It thoroughly analyses this EU legislative act through the lens of the key topics currently discussed in relation to AI, with an emphasis on the rules governing algorithmic and high-frequency trading.’ -- Christos Gortsos, National and Kapodistrian University of Athens, GreeceTable of ContentsContents 1 Artificial intelligence and market abuse legislation: an introduction 2 The rationale and scope of the Market Abuse Regulation 3 Artificial intelligence: current debate and legislative proposals in the EU 4 Artificial intelligence and inside information 5 Artificial intelligence and market manipulation 6 Further issues and final conclusions Bibliography Index
£85.00
Edward Elgar Publishing Ltd ESG Rating Agencies and Financial Regulation
Book SynopsisTrade Review‘This is an important work that provides an insightful analysis of the ESG rating subject and its regulation. The book guides the reader through the peculiarities, growth and challenges of the ESG rating sector. A must read for experts in the field and a valuable addition to the sustainable finance literature.’ -- Francesco De Pascalis, Brunel University London, UK‘Credit rating agencies have taken criticism for misrepresenting risk, especially in relation to the 2008 global financial crisis. ESG ratings agencies have also occasionally underdelivered on their aim of providing useful information to investors. With issues such as climate change becoming front and center, it is refreshing to see this book emerge from Daniel Cash, one of the more thoughtful writers working on the connection between ESG and rating agencies.’ -- Cary Krosinsky, Brown University, USTable of ContentsContents: Foreword 1 Introduction to ESG Rating Agencies and Financial Regulation 2 Liability in the credit rating space 3 The relationship between ESG and the law 4 The ESG rating sector 5 Systemic signalling: The application of signalling theory to the ESG rating space 6 Conclusion to ESG Rating Agencies and Financial Regulation
£76.00
Edward Elgar Publishing Floating Charges in Comparative Perspective
Book Synopsis
£137.75
Edward Elgar Publishing EU Capital Market Law
Book Synopsis
£109.25
Cambridge University Press Enforcement of Corporate and Securities Law China
Book SynopsisThis book is the first of its kind in focusing on the enforcement of corporate and securities laws, both public and private, which is a relatively understudied but critically important issue for the development and health of global capital markets. The book has a special focus on the young system coming into being in the People's Republic of China (PRC), but also examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective. This single volume assembles a veritable 'dream team' of contributors who are amongst the very best scholars and legal specialists in the many national jurisdictions covered in the book. Hence, it is of significant value to corporate and securities regulators, judicial officials, prosecutors, litigation specialists, corporate counsel, legal and economic policymakers, scholars, think tanks, students, and investors alike.Table of ContentsPart I. Theoretical Framework: 1. The financial crisis: why have no high-level executives been prosecuted? Jed S. Rakoff; 2. Private enforcement in the United States and in Europe: a comparatist's ruminations and potential lessons for Asia Mathias Reimann; 3. Disclosure regulation and the rise of capital markets: nineteenth-century Britain and Germany compared Carsten Gerner-Beuerle; 4. Mandatory arbitration in consumer finance and investor contracts Michael S. Barr; 5. The bonding effect in cross-listed Chinese companies: is it real? Donald Clarke; Part II. China (Mainland): 6. Improving the civil liability system for false and misleading disclosure in the Chinese securities markets Liming Wang; 7. A question of class action in China Xianchu Zhang; 8. Private enforcement of securities law in China: past, present and future Robin Hui Huang; 9. Improving investor-friendly legal environment in Chinese capital markets Junhai Liu; 10. Enforcing fiduciary duties as tort liability in Chinese courts Jiangyu Wang; 11. China's free trade zone and latest development of the resolution mechanism for financial disputes: a perspective from the innovation of Qianhai international arbitration Xiaochun Liu; Part III. Common Law Jurisdictions: 12. Curbing managerial agency costs: private litigation and its substitutes in the US James D. Cox and Randall S. Thomas; 13. Private enforcement of corporate law: an empirical comparison of the UK and US John Armour, Bernard Black, Brian Cheffins and Richard Nolan; 14. Securities law enforcement and the rule of law Jeffrey G. MacIntosh; 15. Securities regulation in Australia - the role of the class action Michael Legg; 16. Enforcement of corporate and securities laws in India: the arrival of the class action? Vikramaditya Khanna; 17. Enforcement of Hong Kong's securities law - the underpinning philosophy Alexa Lam; Part IV. Civil Law Jurisdictions: 18. Enforcement of company and securities laws in Germany: an exercise in diversity Rainer Kulms; 19. Liability for misstatements to the market: the post-Parmalat years Guido Ferrarini and Paolo Giudici; 20. Growing securities litigation against issuers in Japan: its background and reality Gen Goto; 21. Private enforcement of company law and securities regulation in Korea Hwa-Jin Kim; 22. The IPC model for securities law enforcement in Taiwan Wen-yeu Wang; 23. Building enforcement capacity for Brazilian corporate and securities law John Armour and Caroline Schmidt; Conclusion Robin Hui Huang and Nicholas Calcina Howson; Index.
£90.90
John Wiley & Sons Inc Hedge Fund Compliance
Book SynopsisThe long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author''s experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recentTable of ContentsPreface xi Chapter 1 Introduction to Hedge Fund Compliance 1 Introduction 1 Differences in Hedge Fund and Other Alternative Fund Compliance 1 Hedge Fund Compliance Is Not Specific to One Country 4 Do Alternative Investments Merit Special Compliance Considerations? 5 Understanding the Hedge Fund Compliance Framework 9 Introduction to the Hedge Fund Compliance Function 10 Distinguishing the Legal and Compliance Departments 11 Key Players in Compliance 12 Standard Areas Covered by a Hedge Fund Compliance Function 14 Compliance Function Roles and Authority 16 Chapter Summary 17 Notes 17 Chapter 2 Introduction to Hedge Fund Regulation and Examination 18 Introduction 18 Different Types of Regulation for Different Financial Entities 18 Why Regulation Is Needed 20 Where Do Compliance Rules Come From? 22 National and Global Jurisdiction 23 Common Regulatory Interaction with Hedge Funds 24 Regulatory Examinations 25 Chapter Summary 28 Notes 28 Chapter 3 The Chief Compliance Officer and Regulatory Reporting 30 Introduction 30 Introducing the Chief Compliance Officer 30 Regulatory Reporting 34 Regulatory Reporting in Multiple Jurisdictions 34 Common Regulatory Reporting Questions 35 A Multistep Process 35 Chapter Summary 40 Notes 41 Chapter 4 In-House Compliance Professionals and Hedge Fund Committees 42 Introduction 42 Common Compliance Function Tasks 43 Firm Committees as Compliance Mechanisms 49 Chapter Summary 53 Note 54 Chapter 5 Hedge Fund Compliance Technology 55 Introduction 55 Understanding the Hedge Fund Information Technology Function 55 Primary Compliance Uses of Technology 58 Compliance Considerations for Use of Electronic Data 59 Compliance Oversight of Nonelectronic Data 64 Business Continuity and Disaster Recovery Planning 64 Chapter Summary 65 Notes 66 Chapter 6 Compliance Consultants and Other Compliance-Related Service Providers 67 Service Provider Compliance 67 Classification of Compliance Service Providers 67 Service Provider Compliance Work 68 Hedge Fund Compliance Consultants 69 Chapter Summary 82 Note 82 Chapter 7 Understanding Key Compliance Documentation 83 Reasons for Documenting Compliance Policies and Procedures 83 Understanding the Goals of Compliance Documentation 84 Jurisdictional Differences in Compliance Documentation 85 Understanding Boilerplate Documentation 85 Core Compliance Documentation 88 Chapter Summary 97 Note 98 Chapter 8 Investor Evaluation of Hedge Fund Compliance Functions 99 Introduction 99 Compliance Evaluations in Investor Due Diligence 99 Initial and Ongoing Compliance Analysis 101 Evaluating Best Practice Compliance 104 Key Compliance Analysis Areas 109 Chapter Summary 118 Note 118 Chapter 9 Case Studies and Example Scenarios in Hedge Fund Compliance 119 Introduction 119 Compliance Scenario 1 119 Compliance Scenario 2 122 Case Studies 123 Chapter Summary 129 Notes 129 Chapter 10 Common Compliance Pitfalls and How to Avoid Them 131 Introduction 131 Pitfall 1: Small Firms Build Large Firm Compliance Infrastructures 131 Pitfall 2: Underspending on Compliance 133 Pitfall 3: Lack of Independent Compliance Reporting 134 Pitfall 4: Outsourcing All Compliance 135 Pitfall 5: Relying on Technology and Compliance Automation 136 Pitfall 6: Letting Investor Opinion Drive Compliance Priorities 137 Chapter Summary 138 Notes 139 Chapter 11 Interviews with Compliance Service Providers 140 Introduction 140 Interview with Kent Wegrzyn (ACA Compliance Group) 140 Interview with Vinod Paul (Eze Castle Integration) 160 Chapter Summary 171 Chapter 12 Trends and Future Developments 172 Introduction 172 Chief Compliance Officers Personal Liability Concerns 172 Increased Senior Manager Regulatory Accountability 174 Compliance-Related Insurance 175 Increasingly Coordinated Hedge Fund Regulation in Europe 176 Chapter Summary 177 Notes 178 About the Author 181 Index 183
£45.00
Cambridge University Press Industrial Policy and the World Trade Organization
Book SynopsisThe severe global financial crisis of 2008 could not be overcome without government interventions through industrial policy. This timely book analyses industrial policy from the perspectives of trade law and economics under the WTO system. The author expertly examines both general tools of protecting and supporting domestic producers and specific topics like special economic zones, localization, greening measures and creative economy. In addition to legal texts and jurisprudence, this book extensively utilizes other WTO materials to show what is actually discussed in WTO meetings and forums on relevant issues. Where applicable, the author advances practical recommendations for ''right'' or ''optimal'' industrial policy in certain contexts based on trade rules, case law and some countries'' real experiences. The author concludes this work with some thoughts on concrete actions to be taken at the WTO and national levels and in academic circles in order to better tackle industrial policy Trade Review'Professor Shadikhodjaev has written a must-have reference book for anyone who cares about the role of governments in the global economy and world trading system.' Julia Ya Qin, Wayne State University and Peking University International Law Institute'This informative book describes what forms of industrial policy are consistent with the rules of the World Trade Organization. The book is densely written and thick with legal terminology, but it is valuable as an authoritative reference work. In addition to analyzing WTO policies, Shadikhodjaev provides a useful catalog of areas where the WTO's rules are ambiguous and suggests how they might be clarified and improved.' Richard N. Cooper, Foreign AffairsTable of ContentsPart I. General Tools of Industrial Policy: 1. Industrial policy under the global trade regime; 1.1. The conceptual framework for industrial policy; 1.2. The multilateral trading system and industrial policy; 1.3. Concluding remarks; 2. Protection of domestic industry; 2.1. Border restrictions; 2.2. Taxes; 2.3. Product standards; 2.4. Protection of services industries; 2.5. Concluding remarks; 3. Promotion of domestic industry; 3.1. The economics of government subsidies; 3.2. The WTO subsidy regime; 3.3. Industrial policies in upstream sectors; 3.4. Concluding remarks; Part II. Special Topics of Industrial Policy: 4. Free zones and industrial development; 4.1. Free zones as an industrial policy tool; 4.2. Free zones under the revised Kyoto Convention; 4.3. Free zones under WTO rules; 4.4. Customs and trade rules: some questions of concurrent application; 4.5. Concluding remarks; 5. Local content requirements and industrialization; 5.1. LCRs and world practice; 5.2. Review of the economic literature; 5.3. The scope of the WTO-applicability to LCRs; 5.4. Legality of LCRs under WTO rules; 5.5. Data localization requirements as an emerging issue; 5.6. Concluding remarks; 6. The greening of industrial policy; 6.1. Environmental dimensions of industrial policy and trade; 6.2. Border carbon adjustments; 6.3. Renewable energy subsidies; 6.4. Environmental labels; 6.5. Environmental exceptions under GATT Article XX; 6.6. Harmonization of the trade and environmental regimes; 6.7. Concluding remarks; 7. Industrial policy in the age of creative economy; 7.1. Creative economy as a new paradigm of industrial policy; 7.2. The status of creative products under the WTO legal framework; 7.3. Creative economy and technological progress under WTO law; 7.4. Policy space for trade restrictions on creative products; 7.5. Concluding remarks.
£30.99
LexisNexis UK The Law of Hedge Funds A Global Perspective
Book SynopsisThe Law of Hedge Funds is a concise yet comprehensive guide to the law in this area. Practical and user-friendly, it covers all the relevant legal aspects involved, including choice of jurisdiction and vehicle, service providers, prime brokerage, fund directors, the regulatory environment in the UK, the EU and the USA, marketing in various different jurisdictions, taxation, employment and the in-house perspective. This second edition has been updated to take account of the changes introduced by the Alternative Investment Funds Managers Directive (AIFMD).
£351.00
Bloomsbury Publishing PLC Public and Private Enforcement of Securities
Book SynopsisThis book undertakes unique case studies, including interviews with participants, as well as empirical analysis, of public and private enforcement of Australian securities laws addressing continuous disclosure. Enforcement of laws is crucial to effective regulation. Historically, enforcement was the province of a government regulator with significant discretion (public enforcement). However, more and more citizens are being expected to take action themselves (private enforcement). Consistent with regulatory pluralism, public and private enforcement exist in parallel, with the capacity to both help and hinder each other, and the achievement of the goals of enforcement in a range of areas of regulation. The rise of the shareholder class action in Australia, backed by litigation funding or lawyers, has given rise to enforcement overlapping with that of the government regulator, the Australian Securities and Investments Commission. The ramifications of overlapping enforcement are explained based on detailed analysis. The analysis is further bolstered by the regulator’s approach to enforcement changing from a compliance orientation to a “Why not litigate?” approach. The analysis and ramifications of the Australian case studies involve matters of regulatory theory and practice that apply across jurisdictions. The book will appeal to practitioners, regulators and academics interested in regulatory policy and enforcement, and the operation of regulators and class actions, including their interaction.Table of Contents1. Introduction I. Research Questions II. Structure of the Text III. Scope of Study and Text IV. Case Studies V. Key Findings VI. Conclusion 2. Background I. Introduction II. Continuous Disclosure III. Misleading or Deceptive Conduct IV. ASIC Enforcement V. Shareholder Class Actions VI. Conclusion 3. Analytical Framework I. Introduction II. Deterrence III. Compensation IV. The Regulatory Process V. Conclusion 4. Case Studies I. Introduction II. Methodology III. Telstra IV. Multiplex V. Centro VI. Leighton VII. Conclusion – Summary of Case Studies 5. Application of the Analytical Framework to the Case Studies I. Introduction II. Application of the Analytical Framework – Deterrence III. Application of the Analytical Framework – Compensation IV. Application of the Analytical Framework – Regulatory Process V. Conclusion 7 6. Effectiveness and Coexistence of Regulatory Enforcement and Class Actions I. Introduction II. Effectiveness of ASIC Enforcement and Class Actions III. Ramifications of ASIC Enforcement and Class Actions Coexistence IV. Conclusion 7. Public and Private Enforcement Recalibrated I. Introduction II. ASIC’s Enforcement Approach Revisited III. Class Actions Revisited IV. Reformulating the Continuous Disclosure Laws V. ASIC Enforcement and Continuous Disclosure Class Actions Post-2017 VI. Conclusion 8. Coordination of Public and Private Enforcement I. Introduction II. Why Coordination? III. Existing Coordination Mechanisms IV. Coordination in Other Regulatory Regimes V. Concerns with Coordination VI. Coordination Strategies for Securities Regulation VII. Conclusion Appendix 1 I. Interview Questions for ASIC II. Interview Questions for Class Action Applicants, Litigation Funders and their Lawyers III. Interview Questions for Regulated Entity/Class Action Respondents’ Directors/Officers and their Lawyers IV. Summary of Interviews V. Interviews with Short Title Appendix 2 Table 1 Continuous disclosure infringement notices from 1 July 2004 to 30 June 2021 Table 2 Continuous disclosure enforceable undertakings – 1998 to 30 June 2021 Table 3 Continuous disclosure class actions – 2002 to 30 June 2021
£85.50
Bloomsbury Publishing PLC European Capital Markets Law
Book Synopsis“The richness, clarity and nuances of the structure and methodology followed by the contributors make the book a very valuable tool for students... seeking to obtain a general understanding of the market and how it is regulated.” – Ligia Catherine Arias Barrera, Banking & Finance Law Review The fully updated edition of this user-friendly textbook continues to systematise the European law governing capital markets and examines the underlying concepts from a broadly interdisciplinary perspective. The 3rd edition deals with 3 central developments: the project of the capital markets union; sustainable finance; and the further digitalisation of financial instruments and securities markets. The 1st chapter deals with the foundations of capital markets law in Europe, the 2nd explains the basics, and the 3rd examines the regime on market abuse. Chapter 4 explores the disclosure system and chapter 5 short-selling and high-frequency trading. The role of intermediaries, such as financial analysts, rating agencies, and proxy advisers, is described in chapter 6. Chapter 7 explains compliance and corporate governance in investment firms and chapter 8 illustrates the regulation of benchmarks. Finally, chapter 9 deals with public takeovers. Throughout the book emphasis is placed on legal practice, and frequent reference is made to the key decisions of supervisory authorities and courts. This is essential reading for students involved in the study of capital markets law and financial law.Trade ReviewThis work is probably the best treatise on European securities market law. … The book's greatest virtue is that this very important sector of the economy is approached from an interdisciplinary, systematic and dogmatic perspective. This point of view is not so common and is undoubtedly one of the main merits of the book. * Revista de derecho mercantil [Bloomsbury translation] *This book provides essential background information for understanding European capital markets law. -- Toshiaki Yamanaka * University of Tsukuba *Table of ContentsSUMMARY CONTENTS 1 Foundations of Capital Markets Legislature in Europe § 1. History (Rüdiger Veil) § 2. Concept and Aims of Capital Markets Regulation (Rüdiger Veil) § 3. Legislative Powers for Regulating and Harmonising Capital Markets in Europe (Rüdiger Veil) § 4. Rule-Making Process (Fabian Walla) § 5. Sources of Law and Principles of Interpretation (Rüdiger Veil) § 6. Intra- and Interdisciplinarity (Rüdiger Veil) 2 Basics of Capital Markets Law § 7. Capital Markets (Rüdiger Veil) § 8. Financial Instruments (Rüdiger Veil) § 9. Market Participants (Rüdiger Veil) § 10. Cryptoassets and DLT Market Infrastructures (Rüdiger Veil) § 11. Capital Markets Supervision (Fabian Walla) § 12. Sanctions (Rüdiger Veil) 3 Market Abuse § 13. Foundations (Rüdiger Veil) § 14. Insider Dealing (Rüdiger Veil) § 15. Market Manipulation (Rüdiger Veil) 4 Disclosure System § 16. Foundations (Hendrik Brinckmann) § 17. Prospectus Disclosure (Rüdiger Veil) § 18. Periodic Disclosure (Hendrik Brinckmann) § 19. Disclosure of Inside Information (Rüdiger Veil) § 20. Disclosure of Major Holdings (Rüdiger Veil) § 21. Directors’ Dealings (Rüdiger Veil) § 22. Corporate Governance and Shareholder Rights (Rüdiger Veil) 5 Trading Activities § 23 Investment Objectives (Rüdiger Veil) § 24 Short Sales and Credit Default Swaps (Fabian Walla) § 25 Algorithmic Trading and High-Frequency Trading (Marcus Lerch) 6 Intermediaries § 26 Financial Analysts (Rüdiger Veil) § 27 Rating Agencies (Rüdiger Veil) § 28 Proxy Advisors (Rüdiger Veil) 7 Investment Firms § 29 Foundations (Rüdiger Veil) § 30 Investment Services (Rüdiger Veil) § 31 Product Intervention (Rüdiger Veil) § 32 Foundations of Compliance (Malte Wundenberg) § 33 Compliance Requirements (Malte Wundenberg) § 34 Governance (Malte Wundenberg) 8 Regulation of Benchmarks § 35 Foundations (Malte Wundenberg) § 36 Market Supervision and Organisational Requirements (Malte Wundenberg) 9 Takeover Law § 37 Foundations (Rüdiger Veil) § 38 Public Takeovers (Rüdiger Veil) § 39 Mandatory Bid (Rüdiger Veil) § 40 Defence against Takeover Bids (Rüdiger Veil)
£53.99
Aspen Publishing Emanuel Law Outlines for Secured Transactions
Book Synopsis
£65.50
Aspen Publishing Examples & Explanations for Securities Regulation
Book Synopsis
£66.56
Aspen Publishing Securities Regulation: Cases and Materials
Book Synopsis
£229.89
Wolters Kluwer Law & Business Securities Regulation
Book Synopsis
£57.82
Vandeplas Publishing Law and the Financial System - Securitization and Asset Backed Securities: Law, Process, Case Studies, and Simulations
£66.45
American Bar Association The Dodd-Frank Wall Street Reform and Consumer
Book Synopsis
£60.79
Nova Science Publishers Inc Credit Rating Agencies: Regulation & Reform Act
Book Synopsis
£139.49
Nova Science Publishers Inc Federal Facility Security: Development of Lessons
Book Synopsis
£63.74
Nova Science Publishers Inc Unmanned Aerial Vehicle Proliferation & Export
Book Synopsis
£63.74
Nova Science Publishers Inc Supply Chain Security: Cargo Container & Federal
Book SynopsisThe U.S. economy is dependent on the expeditious flow of millions of tons of cargo each day. Cargo containers are an important instrument of global trade but also can present security concerns. U.S. Customs and Border Protection (CBP), within the Department of Homeland Security (DHS), is responsible for administering container security programs, and its strategy for securing maritime cargo containers includes analyzing information to identify shipments that may contain terrorist weapons or other contraband. Because CBP has insufficient resources to examine every container, targeters use Automated Targeting Systems (ATS) to profile which container shipments should be examined. This book addresses how ATS supports CBP''s targeting of maritime cargo container shipments for national security purposes; and the extent to which CBP assesses the effectiveness of ATS''s national security targeting rules.
£52.49
Nova Science Publishers Inc Homeland Security: Key Issues & Considerations
Book SynopsisWith the tenth anniversary of the establishment of the Department of Homeland Security (DHS), many observers are making a fresh assessment of where America''s homeland security enterprise stands today. The DHS is currently the third largest department in the federal government, although it does not incorporate all of the homeland security functions at the federal level. The definition of homeland security remains unsettled, and questions about the effectiveness and efficiency of the department have been raised since it was first proposed. Evolution of America''s response to terrorist threats has continued under the leadership of different Administrations, Congresses, and in a shifting environment of public opinion. This book outlines an array of homeland security issues that may come before Congress including, counter-terrorism and security management; border security and trade; immigration; disaster preparedness, response, and recovery; and departmental management.
£52.49
Nova Science Publishers Inc Department of Homeland Security Science &
Book SynopsisPolicy-makers generally believe that science and technology can and will play significant roles in improving homeland security. When Congress established the Department of Homeland Security (DHS), through the Homeland Security Act of 2002, it included the Directorate of Science and Technology (S&T) to ensure that the new department had access to science and technology advice and capabilities for research and development (R&D). The S&T Directorate is the primary organisation for R&D in the DHS. It conducts R&D in several DHS laboratories and funds R&D conducted by other government agencies, the Department of Energy national laboratories, academia, and the private sector. Additionally, the directorate supports the development of operational requirements and oversees the operational testing and evaluation of homeland security systems for the DHS. This book provides a brief overview of the S&T Directorate''s mission, organisation, and budgetary structure; a discussion of selected critiques of the S&T Directorate; and an analysis of selected issues facing congressional policy-makers.
£119.99
Nova Science Publishers Inc Import Trade & U.S. Customs & Border Protection:
Book SynopsisInternational trade is a critical component of the U.S. economy, with U.S. merchandise imports and exports amounting to $2.2 trillion and $1.5 trillion in 2011, respectively. The efficient flow of legally traded goods in and out of the United States is thus a vital element of the country''s economic security. U.S. Customs and Border Protection (CBP), within the Department of Homeland Security (DHS), is the primary agency charged with ensuring the smooth flow of trade through U.S. ports of entry. CBP''s policies with regard to U.S. imports are designed to: facilitate the smooth flow of imported cargo through U.S. ports of entry; enforce trade and customs laws designed to protect U.S. consumers and business and to collect customs revenue; and enforce import security laws designed to prevent weapons of mass destruction, illegal drugs, and other contraband from entering the U.S. - a complex and difficult mission. This book describes and analyses import policy and CBP''s role in the U.S. import process, with a focus on the legislative history of customs laws; "trusted trader" programs to improve enforcement of intellectual property and trade remedy laws, to strengthen cargo scanning practices, and/or to promote modernisation of customs data systems.
£119.99
Nova Science Publishers Inc Department of Defense Use of Contractors to
Book SynopsisThroughout its history, the Department of Defense (DOD) has relied on contractors to support a wide range of military operations. Operations over the last thirty years have highlighted the critical role that contractors play in supporting U.S. troops - both in terms of the number of contractors and the type of work being performed. Over the last decade in Iraq and Afghanistan, and before that, in the Balkans, contractors accounted for 50% or more of the total military force. Regardless of whether future operations are similar to, or significantly different from, those of the past decade most analysts and defence officials believe that contractors will continue to play a central role in overseas military operations. Consequently, these observers believe that the DOD should be prepared to effectively award and manage contracts at a moment''s notice, anywhere in the world, in unknown environments, and on a scale that may exceed the total contract obligations of any other federal agency. This book provides background information and identifies issues for Congress on the use of contractors to support military operations. The DOD''s extensive use of contractors poses several potential policy and oversight issues for Congress and has been the focus of numerous hearings. Congress'' decisions on these issues could substantially affect the extent to which the DOD relies on contractors in and is capable of planning for and overseeing contractors in future operations.
£52.49
Nova Science Publishers Inc National Network of Fusion Centers:
Book Synopsis
£139.49
Nova Science Publishers Inc Burma: Human Rights, Political Reform Efforts &
Book SynopsisAn accurate and objective assessment of the status of human rights, civil unrest, and political reform in Burma is critical to congressional oversight of the Obama Administration''s conduct of U.S. policy towards the country, as well as any congressional examination of U.S. policy towards Burma. The Obama Administration and many other observers have focused their analysis on the apparent progress that has been made since Burma''s military junta transferred power to a new, quasi-civilian government in 2011. These analyses highlight the country''s political reforms and human rights improvements, while acknowledging that the situation remains fragile and reversible. This book examines the current situation in Burma from the implicit perspective shaped by U.S. laws setting policy toward Burma, and discusses the challenges of responding to reforms in a nation in political transition which has gone only part way to dealing with human rights abuses. In general, these laws establish a set of standards or thresholds to achieve before the sanctions are lifted and bilateral relations are normalised. Based on the criteria enumerated in these laws, this book reviews: (1) prospects for an end to internal inter-ethnic conflict and national reconciliation, which appear slim in the short-run; (2) the critical political forces in Burma, which do not currently share a common vision or path towards a democratic civilian government; and (3) the ongoing problem of human rights abuses in Burma.
£119.99
Nova Science Publishers Inc U.S. Nuclear Weapons Force: Reduction &
Book Synopsis
£106.49
Nova Science Publishers Inc Cyber Resiliency, Security & Cloud Computing
Book SynopsisThe United States cannot be confident that our critical Information Technology (IT) systems will work under attack from a sophisticated and well-resourced opponent utilising cyber capabilities in combination with all of their military and intelligence capabilities. While the Department of Defense takes great care to secure the use and operation of the "hardware" of its weapon systems, these security practices have not kept up with the cyber adversary tactics and capabilities. Further, the same level of resource and attention is not spent on the complex network of information technology (IT) systems that are used to support and operate those weapons or critical cyber capabilities embedded within them. This book provides recommendations for a workable framework; details about how the Department could prepare to operate in a cyber-contested environment; and the task force describes the specific aspects of the cloud computing configuration that are relevant to avoid the simple choice of public or private clouds.
£189.74
Nova Science Publishers Inc NSA Intelligence Collection, Leaks & the
Book Synopsis
£119.99
Nova Science Publishers Inc National Biosurveillance Strategy & Associated
Book Synopsis
£52.49
Nova Science Publishers Inc Federal Security Clearances: Elements &
Book SynopsisSecurity clearances allow personnel access to classified information that, through unauthorised disclosure, can, in some cases, cause exceptionally grave damage to U.S. national security. To safeguard classified data and manage costs, agencies need an effective process to determine whether civilian positions require a clearance. This book discusses agencies needing clearly defined policies for determining civilian position requirements; answers frequently asked questions on the security clearance process; and provides statements and testimonies from a hearing on the insider threat to homeland security.
£52.49
American Bar Association Fund Director's Guidebook, Fourth Edition
Book SynopsisThis guide covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities. Since 2006 when the third edition was published, there have been significant developments affecting funds in the wake of the 2008-2009 financial crisis and the resulting legislation, the Dodd-Frank Act. There also has been increased civil litigation involving funds and their service providers, and a more active role of the SEC and its staff in asserting securities law fund-related violations, including SEC enforcement actions against independent directors brought under the 1940 act's compliance rule. This guidebook provides directors with an overview of the functions, responsibilities, and potential liabilities of fund directors; information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others; assistance to directors in discharging their responsibilities; suggestions as to how independent directors can best fulfill their responsibilities.
£59.32
West Academic Publishing Securities Regulation: Cases and Analysis
Book SynopsisThis casebook offers a clear and concise introduction to the economics and regulation of securities markets, with a single-minded focus on disclosure and the economics of disclosure. It is concise, easy to read, and student friendly.The casebook makes securities regulation easy to teach and understand. It focuses on the important principles students need to understand to be effective corporate lawyers. The chapters are organized around motivating hypotheticals that illustrate the various issues relating to each chapter's topic. These hypotheticals make it easier for the students to follow the material. In addition, they are a useful teaching device allowing students to grapple with issues that they are likely to face as corporate lawyers. The supporting materials for the book also provide role-playing and prospectus-drafting exercises to involve students in learning tedious securities materials (e.g, prospectuses). The book avoids policy debates and instead focuses on understanding the rules as they are. It contains tables and charts to organize complicated material, along with a comprehensive set of PowerPoint slides for presenting the material.This casebook focuses on overarching topics such as materiality and the definition of a security up front, before delving into the details of how the Securities Exchange Act of 1934 and the Securities Act of 1933 operate. The Sarbanes-Oxley, Dodd-Frank, and JOBS Act (JOBS Act), are all covered, with separate chapters devoted to enforcement and gatekeepers. The Fifth Edition has been revised to reflect significant developments in securities fraud litigation and insider trading, as well as new material relating to cybersecurity and cryptocurrency.
£239.20
Rowman & Littlefield Code of Federal Regulations, Title 17 Commodity
Book SynopsisTitle 17 presents regulations governing commodities and securities exchanges. It includes the rules of Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Department of the Treasury.
£45.90
West Academic Publishing The Law of Securities Regulation
Book SynopsisThis Hornbook is a comprehensive secondary source for the study of Securities Regulation. It also can serve as a lawyer's desk book. Coverage includes definition of "security," registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, the Investment Company Act and the Investment Advisers Act. This new edition reflects recent SEC rulemaking, including important amendments to exemptions from registration, new broker-dealer obligations, as well as recent Supreme Court and many other case law developments.
£147.90
