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Books on the topic 'Law ; financial regulation ; derivatives'

Author: Grafiati

Published: 4 June 2021

Last updated: 5 February 2022

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1

Derivatives reform and regulation. Hauppauge, N.Y: Nova Science Publisher's, 2011.

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2

Financial regulation of banking derivatives, securitizations and trusts in China. Toronto: Carswell, 2009.

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3

Jin rong yan sheng pin ding jia de fa lü gui zhi: The Legal Regulation of Financial Derivatives Pricing. Beijing Shi: Fa lü chu ban she, 2013.

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4

author, Markham Jerry W., ed. Regulation of derivative financial instruments: (swaps, options and futures) : cases and materials. St. Paul, MN: West Academic Publishing, 2014.

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5

United States. Congress. House. Committee on Financial Services., ed. Hearing to examine the regulation of over-the-counter derivatives: Joint hearing before the Committee on Agriculture and the Committee on Financial Services, House of Representatives, first session, July 10, 2009. Washington: U.S. G.P.O., 2009.

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6

United, States Congress House Committee on Banking Finance and Urban Affairs Subcommittee on Financial Institutions Supervision Regulation and Deposit Insurance. H.R. 4503, the Derivatives Safety and Soundness Supervision Act of 1994: Hearing before the Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred Third Congress, second session, July 12, 1994. Washington: U.S. G.P.O., 1994.

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7

Jin rong yan sheng gong ju fa lü jian guan wen ti yan jiu: Yi Ying, Mei wei zhu yao fen xi shi jiao = Research on legal regulation of financial derivatives : base analysis on Britain and the United States mainly. Beijing Shi: Beijing da xue chu ban she, 2009.

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8

1947-, Hazen Thomas Lee, and Johnson Philip McBride, eds. Derivatives regulation. New York: Aspen Publishers, 2004.

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9

Gengatharen, Rasiah. Derivatives law and regulation. Boston, MA: Kluwer Law International, 2001.

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10

James, Hamilton. Federal regulation of derivatives. Chicago, IL (4025 W. Peterson Ave., Chicago 60646-6085): CCH Inc., 1995.

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11

Hudson, Alastair. The law on financial derivatives. 3rd ed. London: Sweet & Maxwell, 2002.

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12

The law on financial derivatives. London [England]: Sweet & Maxwell, 1996.

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13

Cowell, Lawrence P. Modernizing financial regulation. New York, N.Y: Nova Science Publisher's, 2010.

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14

Kirk, Jonathan. Modern financial regulation. Bristol: Jordans Publishing Limited, 2013.

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15

Grottenthaler, Margaret E. The law of financial derivatives in Canada. Toronto: Carswell, 1998.

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16

Egan, Manus. EC financial services regulation. London: Chancery Law Pub., 1994.

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17

Miller, Jonathan. Dictionary of financial regulation. London: London & International, 1988.

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18

Gelfand, Brian Z. Regulation of financial institutions. Scarborough, Ont: Carswell, 1993.

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19

I-Ping, Soong, ed. Hong Kong derivatives: Law and practice. Hong Kong: LexisNexis, 2010.

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20

137, Economic Council of Canada Study Paper. A Framework for financial regulation. Ottawa: Economic Council of Canada, 1987.

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21

J, Kane Edward. Ethical foundations of financial regulation. Cambridge, MA: National Bureau of Economic Research, 1997.

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22

MacNeil, Iain. The future of financial regulation. Oxford: Hart Pub., 2010.

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23

The future of financial regulation. Oxford: Hart Pub., 2010.

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24

Gleeson, Simon. Financial services regulation: The new regime. London: Sweet & Maxwell, 1999.

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25

Australia. Companies and Securities Advisory Committee. Law of derivatives: An international comparison. [Sydney: The Committee, 1995.

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26

Kŭmyung kuje wa pŏp: Financial regulation & law. Sŏul T'ŭkpyŏlsi: Pagyŏngsa, 2008.

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27

Schroeder, Milton R. The law and regulation of financial institutions. Arlington, Va: A.S. Pratt & Sons, 1998.

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28

Schroeder, Milton R. The law and regulation of financial institutions. Boston: Warren, Gorham & Lamont, 1995.

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29

Tison, Michel, Hans De Wulf, Christoph Van der Elst, and Reinhard Steennot, eds. Perspectives in Company Law and Financial Regulation. Cambridge: Cambridge University Press, 2009. http://dx.doi.org/10.1017/cbo9780511770456.

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30

1947-, Aquilino Vincent M., ed. Principles of financial derivatives: U.S. and international taxation. Boston: Warren, Gorham & Lamont, RIA Group, 1999.

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31

B, Falkena H. Financial regulation in South Africa. 2nd ed. Johannesburg, South Africa: SA Financial Sector Forum, 2001.

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32

Singh, Dalvinder. Banking regulation of UK financial markets. Burlington, Vt: Ashgate, 2007.

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33

International financial system: Policy and regulation. Austin: Wolters Kluwer Law & Business, 2009.

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34

Basil, Zafiriou, ed. Regulation of financial institutions: Ownership policy. [Ottawa]: Library of Parliament, Research Branch, 1989.

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35

Handfield-Jones, Stephen. Harmonization of financial regulation in Canada. Ottawa, Ont: Conference Board of Canada, 1989.

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36

New regulation of the financial industry. Houndmills: Macmillan, 2000.

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37

1952-, Green David, ed. Global financial regulation: The essential guide. Cambridge: Polity, 2008.

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38

International financial system: Policy and regulation. Aalphen aan den Rijn: Kluwer Law International, 2008.

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39

Douglas W, Arner, Hsu Berry FC, Goo Say H, Johnstone Syren, Lejot Paul, and Tse Maurice Kwong-Sang. Part III Regulation of Financial Products, 8 Financial Derivatives. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780198706472.003.0008.

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This chapter examines the financial derivative instruments traded and used in Hong Kong. The chapter describes the current main types of financial derivatives, their uses and risks, and examines Hong Kong’s twofold approach to their regulation. It also raises questions that may not be fully addressed in any major financial jurisdiction; for example, how the law accounts for relatively new, sophisticated contracts, especially in relation to user protection; whether related areas of law such as bankruptcy may conflict with what has become customary derivative market practice; and how credit risk transfer facilitated by derivative instruments may conflict with established precepts of financial regulation. Lastly, it considers whether links between the territory’s regulators and the stock exchange are well-suited to the supervision of certain derivative activity and to investor protection.

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40

William Rees, Eric C. Bettelheim, and Helen Parry. Swaps and Derivatives Trading Law and Regulation. Sweet & Maxwell, 1995.

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41

Swaps and off-exchange derivatives trading: Law and regulation. London: FT Law & Tax, 1996.

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42

F, Greene Edward, ed. U.S. regulation of the international securities and derivatives markets. 3rd ed. Englewood Cliffs, NJ: Aspen Law & Business, 1996.

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43

Michael, Blair, Walker George, and Willey Stuart, eds. Financial Markets and Exchanges Law. 3rd ed. Oxford University Press, 2021. http://dx.doi.org/10.1093/law/9780198827528.001.0001.

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The book provides a comprehensive and authoritative analysis on the regulation of financial markets and market infrastructure. It focuses on stock markets and exchanges, associated trading, clearing, and settlement, and on payment systems, set in their historical and current contexts. This new edition addresses a number of major developments that have impacted the UK, wider European and international financial markets, such as within the UK, the PRA, the FCA and the Bank of England have become established financial regulators, each with its distinguishing responsibilities; MiFID has been substantially revised and strengthened through new directly applicable EU regulation; MiFID 2 also addresses the challenges posed by the use of fast-technology such as high frequency and algorithmic trading; and new technology is beginning to make an impact on the infrastructure of financial markets. This new edition includes updated content on the growing importance of financial technology with two new chapters on the emerging impact of financial technology on markets and on the regulation of markets. There is also a new chapter on MiFID 2 and MiFIR – the new securities trading architecture that will see the introduction of a new trading venue as well as significant changes to and the pre- and post-trade transparency and reporting regime. The introduction of mandatory trading of derivatives on trading venues is addressed together with the related post-EMIR regime for the mandatory clearing of certain classes of derivatives. Chapters on the role of the European Commission and ESMA have been updated, and consideration is given to the possible implications of Brexit for market location and access

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44

Simon, Gleeson. Gleeson on the International Regulation of Banking. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198793410.001.0001.

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Financial capital regulation drives almost every aspect of the financial markets, from the structures of financial groups and the way they raise capital to the development of investment structures and financial engineering such as derivatives, securitisations, structured finance, credit derivatives, repos, and stock lending. This third edition of the leading guide on the structure of bank financial regulation is invaluable for lawyers and other non-statisticians interested in the regulatory drivers which shape modern financial transactions and techniques. The legal and regulatory principles which underlie the regulations are articulated here in a structured and accessible format. Since the publication of the second edition, the final form of the Basel 3 international regulatory framework for banks has been agreed, and the new edition covers both Basel 3 and references the first tranche of rulebooks and secondary legislation to ensue as a result. The new edition also covers the new formal bank resolution and recovery regime which came into force in November 2016 requiring UK banks, building societies, and the large investment firms to demonstrate minimum requirements for eligible liabilities and own funds. Another key focus of this edition is bank structural reform. Whilst the implementation of the EU initiative stalled and was ultimately withdrawn, the UK has already implemented its own version which has had, and will continue to have, a significant impact on banking regulation.

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45

Antonella Sciarrone, Alibrandi, and Grossule Edoardo. Part III Trading, 16 Commodity Derivatives. Oxford University Press, 2017. http://dx.doi.org/10.1093/law/9780198767671.003.0016.

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This chapter considers the MiFID II/MiFIR regulation of the commodity derivatives sector, one of the areas most affected by the financial markets reform process, particularly the MiFID I review. It analyses the position limits regime, and the new rules amplifying the regulatory and supervisory powers of ESMA, of national competent authorities (NCAs) and trading venues, which introducing a range of interventionist tools that can affect operators’ investment business. The chapter also stresses the need to introduce a specific regulation depending on different commodity derivatives. The main provisions and the specific technical standards are analysed, paying particular attention to controversial measures such as the definition of the ancillary activities, the methodology to calculate the position limits, and the authorities’ new powers.

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46

Douglas W, Arner, Hsu Berry, Goo Say H, Johnstone Syren, Lejot Paul, and Kwok-Sang Tse Maurice. Financial Markets in Hong Kong. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780198706472.001.0001.

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This new edition provides a guide to the main areas of financial regulation and financial law in Hong Kong. Given the massive changes in financial regulation globally as a result of the 2008 global financial crisis and post-crisis international regulatory reforms, this book addresses these changes in Hong Kong markets and their legal and regulatory frameworks, as well as the implications of these changes to future market development. The book is in five parts. The first part considers the evolution of Hong Kong’s role as a financial centre and the development of its financial regulatory structure, one that is perhaps unusually complex given the size of the jurisdiction. The second part discusses the regulation of the banking, securities, and insurance sectors, including the regulatory powers of the Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission of Hong Kong (SFC), the Office of the Commissioner of Insurance (OCI), and the forthcoming independent Insurance Authority (IA). The third part covers regulation of financial products and services, including securities offerings and listings, investment products and asset management, financial derivatives, and takeovers and mergers. The fourth part addresses market conduct and misconduct, including corporate governance, market abuse, and financial crime. Finally, the fifth part examines the international context, focusing on the relationship between Hong Kong’s financial markets and regulation and mainland China as well as key issues for Hong Kong’s role as a major global financial centre.

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47

US GOVERNMENT. H.R. 4503, the Derivatives Safety and Soundness Supervision Act of 1994: Hearing before the Subcommittee on Financial Institutions Supervision, Regulation, ... Congress, second session, July 12, 1994. For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994.

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48

Alessandrini, Donatella. Value Making in International Economic Law and Regulation: Alternative Possibilities. Taylor & Francis Group, 2017.

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49

Alessandrini, Donatella. Value Making in International Economic Law and Regulation: Alternative Possibilities. Taylor & Francis Group, 2016.

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50

Douglas W, Arner, Hsu Berry FC, Goo Say H, Johnstone Syren, Lejot Paul, and Tse Maurice Kwong-Sang. Part II Regulation of Banking, Securities, and Insurance, 4 Securities Regulation: The Securities and Futures Commission and Hong Kong Exchanges and Clearing Limited. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780198706472.003.0004.

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This chapter outlines the evolution of the system of securities regulation in Hong Kong and the regulation of financial intermediaries, products, and services in the context of securities. Prior to 1987, capital market regulation in Hong Kong was minimal, with all the various exchanges operating largely on the basis of self-regulation in the context of the common law framework. The market crash of October 1987 triggered a review of the regulatory framework. Significantly, during the last decade the Hong Kong securities and futures market has gone through a profound transformation from a largely domestic market to an international market with active trading in equity and derivative products. The chapter concludes by stating that Hong Kong’s legal and regulatory framework for securities is comprehensive and of an international standard. However, at the same time the system’s many divisions allow certain risks to be unaddressed.

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