A Practitioner s Guide to the Regulation of Investment Banking is a complete guide to the regulation of investment banking activities. Since publication of the 2nd edition in 2007 there have been a number of very significant developments which will fundamentally affect the way that investment banking is conducted in the UK, Europe and internationally. This new edition has been substantially restructured and revised to take into account these developments, including the Vickers Report, Basel III, MiFID II and the Dodd Frank Act in the US. It is written by a team of leading practitioners who are among the best-known advisers in the City.
The regulatory landscape and the role and statutory powers of the regulators; Governance and senior management; Uncleared derivatives; Derivatives clearing; Securities markets, clearing and settlement; Short selling; Market abuse regime; Prospectus Directive; Loan markets; Impact of Dodd Frank outside the US; Equity capital markets; Client assets; Conflicts and confidential information.