The third edition of the highly regarded practitioner guide to legal risk includes substantial new coverage of ethics and conduct, expertly appraised against the backdrop of significant change in post-crises financial markets.
The third edition of the highly regarded practitioner guide to legal risk includes substantial new coverage of ethics and conduct, expertly appraised against the backdrop of significant change in post-crises financial markets.Hinweis: Dieser Artikel kann nur an eine deutsche Lieferadresse ausgeliefert werden.
Roger McCormick is a past Director of the Sustainable Finance Project at London School of Economics and Political Science, and a past Visiting Professor at LSE. He is now the Managing Director of CCP Research Foundation .He retired from full-time private legal practice in 2004, having practised law in the City of London for nearly thirty years. Chris Stears is a solicitor, a fellow of the Chartered Institute for Securities & Investment, Research Director at CCP Research Foundation, and principal and general counsel at Medius Consulting.
Inhaltsangabe
* Introduction * Part I: The General Context * 1: Why Legal and Conduct Risk are Important: a Short History * 2: Risk And Capital * 3: Legal and Conduct Risk in the London Market * 4: The Global Context * 5: The Lawmaker, the Regulator, and Current Preoccupations * Part II: The Financial Crisis of 2007-2009 * 6: Market and Regulatory Failure * 7: The Initial Impact of the Financial Crisis on Financial Markets * 8: The Initial Legal and Regulatory Responses to the Financial Crisis in the UK * 9: The Initial Response to the Financial Crisis by the EU and Elsewhere * Part III: The Conduct Crisis * 10: The Impact of the LIBOR Scandal: Concerns about Misconduct and Findings of the Conduct Costs Project * 11: Sustainability, Responsibility, Public Trust, Ethical Drift and the 'Social Licence' Concept * 12: Ethics and Banking Standards * Part IV: Early Perceptions of Legal Risk * 13: Financial Services Act 2012: Changes to Regulatory Architecture * 14: Financial Services (Banking Reform) Act 2013 * 15: Individual Accountability * 16: General Legal and Conduct Risk Implications of the Crises and Regulator-led Redress * Part V: Legal and Conduct Risk In Interconnected Financial Markets * 17: Legal and Conduct Risk in a Globalizing Financial Market * 18: The Role of International Institutions in Financial Law Reform * 19: Brexit * Part VI: Early Perceptions of Legal Risk * 20: A Landmark Case and its Aftermath * 21: A Case of Conceptual Impossibility * 22: Settling Differences * Part VII: Characteristics of Legal Risk * 23: Definition * 24: Sources of Legal Risk * 25: Causation * Part VIII: Examples of Legal Risk * 26: Property Interests in Indirectly Held Investment Securities * 27: Vague Laws * 28: Recharacterization * Part IX: Legal and Conduct Risk Management * 29: The Essentials of Legal and Conduct Risk Management * 30: Lawyers' Responsibility for the Management of Legal and Conduct Risk * 31: Metrics in Conduct Risk and Reputational Management: Predictions and Perception * 32: Managing the "Grey Areas"; Standards, Scenario Analysis and Case Studies * Part X: Conclusions * 33: A Convergence of Agendas * Appendices
* Introduction * Part I: The General Context * 1: Why Legal and Conduct Risk are Important: a Short History * 2: Risk And Capital * 3: Legal and Conduct Risk in the London Market * 4: The Global Context * 5: The Lawmaker, the Regulator, and Current Preoccupations * Part II: The Financial Crisis of 2007-2009 * 6: Market and Regulatory Failure * 7: The Initial Impact of the Financial Crisis on Financial Markets * 8: The Initial Legal and Regulatory Responses to the Financial Crisis in the UK * 9: The Initial Response to the Financial Crisis by the EU and Elsewhere * Part III: The Conduct Crisis * 10: The Impact of the LIBOR Scandal: Concerns about Misconduct and Findings of the Conduct Costs Project * 11: Sustainability, Responsibility, Public Trust, Ethical Drift and the 'Social Licence' Concept * 12: Ethics and Banking Standards * Part IV: Early Perceptions of Legal Risk * 13: Financial Services Act 2012: Changes to Regulatory Architecture * 14: Financial Services (Banking Reform) Act 2013 * 15: Individual Accountability * 16: General Legal and Conduct Risk Implications of the Crises and Regulator-led Redress * Part V: Legal and Conduct Risk In Interconnected Financial Markets * 17: Legal and Conduct Risk in a Globalizing Financial Market * 18: The Role of International Institutions in Financial Law Reform * 19: Brexit * Part VI: Early Perceptions of Legal Risk * 20: A Landmark Case and its Aftermath * 21: A Case of Conceptual Impossibility * 22: Settling Differences * Part VII: Characteristics of Legal Risk * 23: Definition * 24: Sources of Legal Risk * 25: Causation * Part VIII: Examples of Legal Risk * 26: Property Interests in Indirectly Held Investment Securities * 27: Vague Laws * 28: Recharacterization * Part IX: Legal and Conduct Risk Management * 29: The Essentials of Legal and Conduct Risk Management * 30: Lawyers' Responsibility for the Management of Legal and Conduct Risk * 31: Metrics in Conduct Risk and Reputational Management: Predictions and Perception * 32: Managing the "Grey Areas"; Standards, Scenario Analysis and Case Studies * Part X: Conclusions * 33: A Convergence of Agendas * Appendices
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