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Corporations --- Securities industry --- Finance
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'Regulation and Compliance in Operations' looks at how regulation affects the operations function by focusing on regulatory issues and drivers. As regulatory demands ever increasing, it is important for operations teams to be aware of the important regulatory issues which exist globally. Like any other part of an organization in the financial services industry, operations has rules and regulations to comply with. Although many view regulation as being about rooting out rogue traders and controlling speculators, its role is much more profound than this, and without it many
Securities industry --- Law and legislation --- Self-regulation
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This book provides a comprehensive picture of the recent trends and developments in the Indian finance scenario. It provides the reader with:. - A comprehensive description and assessment of the Indian capital markets. - An analytical approach together with a description of major recent developments and the current status of the finance sector. The collection deals with issues like brokerage, security analysis, and underwriting, as well as the legal infrastructure of the markets. It focuses primarily on the Indian stock markets, corporate bond markets and derivatives markets. It also looks at
Capital market --- Securities industry --- Asset management accounts
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Provides information on the business of institutional global securities trading. Covers the broad spectrum of activities that buy-side firms undertake to implement their investment decisions and manage the investment process end-to-end in order to reduce market impact costs and maximise portfolio returns.
Securities industry --- Stock exchanges --- Electronic trading of securities
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Stocks --- Securities industry --- Investments --- United States. --- United States
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This exposé of regularized falsehood reveals the unfortunate truth behind the financial advisory industry - that professional investors cannot, and never have been able to, beat market averages. Written by a well-credentialed insider, this book additionally provides detailed insights into where people should really invest their money.
Investment advisors --- Securities industry --- Business ethics --- Deception --- Corrupt practices
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Banks and banking --- Securities industry --- Banking law --- Financial services industry --- Government policy --- E-books
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President Obama recently called for a new financial regulation system in the United States. In order to understand the intricacies of new regulation, individuals must have a strong foundation in how capital markets function as well as how financial instruments and derivatives work. Capital Markets, Derivatives, and the Law provides readers with the foundation necessary to make informed, well-reasoned decisions about capital market participation, derivative utilization, and adherence to existing and future regulations. This publication is an essential guide for attorneys and business profession
Financial instruments --- Securities --- Capital market --- Securities industry --- Stock exchanges --- Law and legislation --- State supervision --- Deregulation
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This title surveys the law and policy of regulating information flows in capital markets. Part I begins with an overview of the themes, regulatory principles, and challenges that animate information policy, and describes the principal industry, self-regulatory, and regulatory bodies that participate in the governance of information flows in capital markets. Part II articulates several objectives of information policy in capital markets - ensuring transparency and access, promoting standardisation and higher orders of meaning, and upholding integrity.
Capital market --- Securities industry --- Disclosure of information --- Data protection --- Financial services industry --- Law and legislation --- Information systems --- E-books
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