Legal and Conduct Risk in the Financial Markets
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Legal and Conduct Risk in the Financial Markets
Stears, Chris; McCormick, Roger
Oxford University Press
03/2018
704
Dura
Inglês
9780198749271
15 a 20 dias
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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 & Findings of the Conduct Costs Project 11: Sustainability, Responsibility, Public Trust, Ethical Drift and the 'Social Licence' Concept 12: Ethics & 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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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 & Findings of the Conduct Costs Project 11: Sustainability, Responsibility, Public Trust, Ethical Drift and the 'Social Licence' Concept 12: Ethics & 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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