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Capital markets & securities law & regulation

See below for a selection of the latest books from Capital markets & securities law & regulation category. Presented with a red border are the Capital markets & securities law & regulation books that have been lovingly read and reviewed by the experts at Lovereading. With expert reading recommendations made by people with a passion for books and some unique features Lovereading will help you find great Capital markets & securities law & regulation books and those from many more genres to read that will keep you inspired and entertained. And it's all free!

Hedge Funds A Practical Global Handbook to the Law and Regulation, Second Edition

Hedge Funds A Practical Global Handbook to the Law and Regulation, Second Edition

Author: Florentino Carreno Format: Hardback Release Date: 01/08/2019

Wherever they are established, the reach, influence and impact of hedge funds on companies and economies are global in nature. Understanding the interaction of the legal and regulatory frameworks that impact on hedge fund operations has become critical for hedge fund sponsors and managers, service providers and stakeholders. In its first edition, this practical handbook outlined for the first time key trends in the global hedge fund industry. This second edition, published in conjunction with the International Bar Association (IBA), updates its content reflecting the complexity of the markets following the implementation of transparency and application of new technologies. It reviews latest structuring and governance models, as well as operational, litigation, enforcement and key regulatory initiatives in the European Union and United States. The book also features an in-depth analysis of the law and regulation of hedge funds in a number of leading jurisdictions. Each country chapter follows a detailed template for ease of reference for the reader. Written by expert hedge fund lawyers and industry service providers - from Borden Ladner Gervais, Sullivan & Cromwell and White & Case, among other leading firms - this title provides up-to-date analysis and helpful, practical tools for participants in the hedge fund industry.

Securities Regulation Statutory Supplement, 2019 Edition

Securities Regulation Statutory Supplement, 2019 Edition

Author: Stephen J. Choi, Adam C. Pritchard Format: Paperback / softback Release Date: 30/07/2019

Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.

Securities Regulation Cases and Analysis

Securities Regulation Cases and Analysis

Author: Stephen J. Choi, Adam C. Pritchard Format: Hardback Release Date: 30/06/2019

This 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.

Securities Litigation and Enforcement, Cases and Materials

Securities Litigation and Enforcement, Cases and Materials

Author: Donna Nagy, Richard Painter, Margaret Sachs Format: Hardback Release Date: 28/06/2019

This casebook focuses on federal securities litigation and enforcement, an area of law that encompasses private litigation, Securities & Exchange Commission (SEC) enforcement, criminal enforcement by the Department of Justice (DOJ), and securities arbitration. The fourth edition incorporates developments since 2011. These include the Jumpstart Our Business Startups (JOBS) Act of 2012 as well as numerous major Supreme Court decisions that appear as principal cases - Salman v. United States; Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund; Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II); Chadbourne & Parke LLP v. Troice, and Amgen, Inc. v. Conn. Ret. Plans & Trust Funds.

Securities Law

Securities Law

Author: Larry D. Soderquist, Theresa A. Gabaldon Format: Paperback / softback Release Date: 21/06/2019

This concise text provides a basic introduction to securities law. One object of the book is to help struggling students get on track; another is to assist in review and exam preparation. The authors define a security, explain how securities are registered under the Securities Act and describe the applicable exemptions. Many other subjects are addressed, including Exchange Act reporting, proxy solicitations and tender offers, insider trading, and international aspects of securities law. The book is completely up-to-date, including coverage of cryptocurrency and the progressive liberalization of the rules and regulations governing registration and reporting.

Distribution of Insurance-Based Investment Products The EU Regulation and the Liabilities

Distribution of Insurance-Based Investment Products The EU Regulation and the Liabilities

Author: Pierpaolo Marano Format: Hardback Release Date: 09/04/2019

The book addresses a topic at the intersection of two heavily regulated sectors: insurance and investment services. Until recently, scholars and professionals have approached insurance and investment services as two separate categories in the financial services sector, and as being governed by separate regulatory frameworks. In practice, however, the boundaries were and are blurred, a reality that regulators have begun to recognize and address in their more recent regulatory texts. The first part of the book approaches the new standards applicable to investment products based on insurance: insurance-based investment products (IBIPs). These rules are harmonized across the EU. The rationale behind this new definition is provided, together with a description of these products' limitations. The analysis addresses the new rules and explores the legal regime and relevant standards applicable to IBIPs. The organizational rules concerning the design and distribution of IBIPs are also examined, and the book highlights e.g. how these rules are inspired by the principles of conduct. In closing, the ADR systems are analysed, in order to ascertain whether or not they can offer an effective tool for settling disputes over these products. In turn, the second part focuses on the liability for distribution of IBIPs, which ranks as one of the most conspicuous and relatively new legal phenomena, but at the same time, represents an exceptionally important field of civil liability in today's world. Liability is still regulated at the national level. Thus, the four largest life insurance markets in the EU are considered, along with the largest emerging market for life insurance. The chapters on national laws also consider whether, and if so, how the new harmonized rules on IBIPs are being combined with those already in force in the jurisdictions considered. The goal is to determine whether the new rules are likely to change the doctrine and case law approach to these products, or whether the European legislators' choices have no real impact on the protection of clients.

Securities Regulation, Selected Statutes, Rules and Forms, 2019 Edition

Securities Regulation, Selected Statutes, Rules and Forms, 2019 Edition

Author: Thomas Lee Hazen Format: Paperback / softback Release Date: 25/01/2019

Receive complimentary lifetime digital access to the eBook with new print purchase. Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through November 2018.

Federal Securities Laws Selected Statutes, Rules, and Forms, 2018-2019 Edition

Federal Securities Laws Selected Statutes, Rules, and Forms, 2018-2019 Edition

Author: John C. Coffee Jr, Hillary A Sale, M. Todd Henderson Format: Paperback / softback Release Date: 30/12/2018

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version: Changes to Regulation S-K; Changes to Regulation S-X; New Securities Act Rule 135d regarding communications involving security-based swaps; Amendment of Securities Act Rule 701; Temporary relief from certain crowdfunding reporting requirements in Securities Act Rule 203; and Temporary Investment Company Act Rule 30b1-9(T) regarding monthly reports on Form N-PORT. This edition has a cutoff date of September 15th, 2018.

Verborgene Liquiditaet Im Marktordnungsrecht Der Mifid

Verborgene Liquiditaet Im Marktordnungsrecht Der Mifid

Author: Christian Hoops Format: Hardback Release Date: 28/12/2018

Die Markte, an denen Finanzinstrumente gehandelt werden, haben sich in den letzten Jahrzehnten drastisch verandert und entwickelten sich von physischen Marktplatzen mit Handlern zu komplexen Computernetzwerken, die ohne menschliche Interaktion Marktdaten empfangen, auswerten und eigene Entscheidungen treffen. Seit der MiFID-Gesetzgebung sind diese Markte aufsichtsrechtlich fragmentiert und es bedarf eines Marktordnungsrechts bestehend aus Transparenz- und Best Execution-Vorschriften, um den potentiellen negativen Effekten der Marktfragmentierung entgegenzuwirken und die Funktionsfahigkeit der Sekundarmarkte zu gewahrleisten. Ausnahmen, die bestehen, wenn Orders im Vorhandelsbereich nicht transparent gemacht werden (verborgene Liquiditat), koennen die Effektivitat des Marktordnungsrechts beeintrachtigen.

World Stock Exchanges A Practical Guide, Second Edition

World Stock Exchanges A Practical Guide, Second Edition

Author: Hugh Maule Format: Hardback Release Date: 08/11/2018

Every day around the globe, businesses seek out equity capital. From young, entrepreneurial growth companies to mature global businesses, working capital is required to run, sustain and grow your business. As the world shrinks due to enhanced communication through technology, the choices available to companies in search of equity expand. For the advisers guiding those companies, the alternative markets that can be recommended increase year on year. World Stock Exchanges: A Practical Guide, 2nd Ed seeks to assist those who may be interested in the equity markets in analysing the choices available to them. This new edition features fully updated contributions from leading practitioners in the field in a selection of major markets, including Australia, China, Dubai, South Africa, the United Kingdom and the United States. Whether you are comparing the relative merits of floating a company on NASDAQ or the London Stock Exchange, in China or in Singapore, on Euronext or OMX, this new edition will be an extremely helpful source of information. Intermediaries, banks and corporate finance advisers, brokers, sponsors, lawyers and accountants will find it highly relevant and informative in analysing the key criteria applying to major stock exchanges around the world. For market practitioners, it will be an essential addition to their library.

Securities Regulation, 2018 Case Supplement

Securities Regulation, 2018 Case Supplement

Author: John C. Coffee Jr, Hillary A. Sale, Charles Whitehead Format: Paperback / softback Release Date: 30/09/2018

This supplement brings the principal text current with recent developments in the law.

Securities Regulation Statutory Supplement, 2018 Edition

Securities Regulation Statutory Supplement, 2018 Edition

Author: Stephen Choi, A.C. Pritchard Format: Paperback / softback Release Date: 30/08/2018

Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.