Regulation of international finance

Philip R. Wood

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Global Financial Regulation and Crises Finance, Markets, and Regulation Securities Regulation and Market Practices

Abstract

Principles and policies of financial regulation. History of financial regulation. Country and EU Summaries. Authorisation of banks and investment firms. Exchanges and settlement systems. Conduct of business by financial firms. Trusts, custodianship and client assets. Regulation of prospectuses. Prospectus liability. Prospectus due diligence. Prospectus contents. Collective investment schemes and hedge funds. Investment frauds: market manipulation and insider dealing. Moneylaundering. Financial supervision and capital adequacy. Sanctions and enforcement. Jurisdiction and territorial scope of regulation, governing law.

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