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Global Securities Markets : Navigating the World's Exchanges and OTC Markets / George W. Arnett, III
PRINT PRINT | John Wiley & Sons, Inc. | 2011
Available at WMS STACKS (Call number: HG4551 .A734 2011)
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xvii, 174 pages : illustrations ; 24 cm
text rdacontent
unmediated rdamedia
volume rdacarrier
Wiley Finance
Wiley finance series
Includes bibliographical references (pages 157-159) and index
"With more than 190 countries in the world, 320 distinct legal jurisdictions, 110 securities exchanges, 40 derivatives exchanges and a withering notional value of over-the-counter derivatives and alternative investments regularly bought and sold, investing in the global securities markets poses challenges beyond selecting a suitable security likely to provide a decent return on investment. This title provides a framework for navigating through the mechanics of execution, clearing, settlement, and custody, as well as law, regulation and practice in the U.S., U.K., and European markets. It also covers margin, short selling, prime brokerage, and the evolving disciplines of risk management, anti-money laundering and international compliance. For the high-net-worth investor or money manager, there is a chapter on managed accounts. This book is meant to cover all the basics of global investing with plenty of go-to tables and listings where an investor or professional can easily locate what he's looking for"-- Provided by publisher
Machine generated contents note: ch. 1 Fundamental Concepts -- Legal Definition of Security -- North versus South (Debt versus Equity) -- East versus West (Derivatives versus Funds) -- Investors -- Brokers, Banks, and Advisors -- Physical Securities -- Agency -- Purchase and Sale of Securities and the Development of Exchanges -- ch. 2 Growth of Exchanges around the Globe and the Development of Screen-Rased Trading -- ch. 3 Paper Crunch and Development of New Institutions -- Trust -- Central Securities Depository -- Netting -- Central Counterparties -- ch. 4 Central Counterparties and Depositories -- Depository Trust and Clearing Corporation -- Euroclear -- ISINs -- Access to Information Regarding Euroclear Securities -- Crest -- ch. 5 Major Worldwide Exchanges and Their Associated Depositories, and Practical Tips on Execution, Clearance, and Custody in Various Regions around the Globe
Practical Commentary Concerning Trading, Clearing, and Custody in Europe -- Practical Commentary Concerning Trading, Clearing, and Custody in South America -- Practical Commentary Concerning Trading, Clearing, and Custody in the Middle East and Africa -- Practical Commentary Concerning Trading, Clearing, and Custody in Asia -- Passenger Markets -- Case Study Relating to Passenger Markets -- ch. 6 Legal Framework of the World Markets -- A Brief History of U.S. Regulation -- New Deal and Glass-Steagall -- Panic of 2008 in Context -- Pillars of U.S. Federal Securities Law -- A Recent History of European Legislation -- A Brief Comparison of U.S. Laws and EU Directives -- ch. 7 Transfer of Securities and Perfection of Collateral -- Custody and Root of Title Internationally -- ch. 8 Margin -- ch. 9 Short Selling and Stock Loans -- ch. 10 Derivatives -- OTC Derivative Markets -- Legal Definition of Derivatives -- What Is a CDS? -- Contract for Difference (CFD) -- Legal and Regulatory Framework of CFDs -- Outlook for CFDs
Ch. 11 Prime Brokerage -- ch. 12 Managed Accounts -- History of Rule 3a-4 -- Applicability of the Advisers Act -- Current SMA Exam Issues -- Issues for the Future -- ch. 13 International Compliance -- Four Horsemen of International Compliance -- Foreign Exchange Controls -- Tax Reporting -- Laws of Inheritance -- Non-Resident Alien Estate Tax -- Compliance Case Study -- ch. 14 Money Laundering -- Anti-Money Laundering Case Study -- ch. 15 SIPC and Other Investment Protection Schemes around the World -- Protection of Customer Assets by SIPC and Excess SIPC Coverage -- Regulatory Obligations on Custody of Customer Funds and Securities -- ch. 16 Risk Management
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