The Resource Legal and conduct risk in the financial markets, Roger McCormick, Managing Director, CCP Research Foundation ; former Visiting Professor, London School of Economics and Political Science ; Chris Stears, Research Director, CCP Research Foundation ; Principal Consultant and General Counsel, Medius Consulting

Legal and conduct risk in the financial markets, Roger McCormick, Managing Director, CCP Research Foundation ; former Visiting Professor, London School of Economics and Political Science ; Chris Stears, Research Director, CCP Research Foundation ; Principal Consultant and General Counsel, Medius Consulting

Label
Legal and conduct risk in the financial markets
Title
Legal and conduct risk in the financial markets
Statement of responsibility
Roger McCormick, Managing Director, CCP Research Foundation ; former Visiting Professor, London School of Economics and Political Science ; Chris Stears, Research Director, CCP Research Foundation ; Principal Consultant and General Counsel, Medius Consulting
Creator
Contributor
Author
Subject
Language
eng
Summary
"This is the third edition of the only work to focus on the topic of legal risk, expanded in this edition to include much new material specifically on conduct risk. The book has been updated to take into account developments in the law and professional standards concerning such risks and associated values in the context of the financial markets. Significant (and in some cases, endemic) conduct-related scandals, such as the widespread mis-selling of financial products and LIBOR manipulation, exposed (even precipitated) by the Financial Crisis, have resulted in legal and regulatory change in equal measure (and profound effect) to that of the prudential and financial stability concerns captured in the second edition ... [This edition] examines the current approach to trust, ethics and conduct within the broader framework of reputational and legal risk. In doing so, it clarifies what constitutes legal risk in contemporary financial markets and how to manage it, drawing on examples and case studies. Other developments in areas such as the resolution/insolvency of banks, the revision of the UK regulatory structure from the FSA to the FCA and PRA, and the recently made new crime of reckless management of a bank are all considered in full. There is also discussion of trends in areas ripe for development such as fiduciary duty amongst financial markets participants."--
Member of
Has edition
Assigning source
Provided by publisher
Cataloging source
NLGGC
http://library.link/vocab/creatorName
McCormick, Roger
Dewey number
346/.082
Illustrations
illustrations
Index
index present
LC call number
K1066
LC item number
.M36 2018
Literary form
non fiction
Nature of contents
bibliography
http://library.link/vocab/relatedWorkOrContributorName
Stears, Chris
http://library.link/vocab/subjectName
  • Global Financial Crisis (2008-2009)
  • Financial services industry
  • Financial services industry
  • Risk management
  • Financial institutions
  • Corporate governance
  • Securities
  • Globalization
  • Global Financial Crisis, 2008-2009
  • Corporate governance
  • Financial institutions
  • Financial services industry
  • Globalization
  • Risk management
  • Securities
  • 86.27 commercial law
Label
Legal and conduct risk in the financial markets, Roger McCormick, Managing Director, CCP Research Foundation ; former Visiting Professor, London School of Economics and Political Science ; Chris Stears, Research Director, CCP Research Foundation ; Principal Consultant and General Counsel, Medius Consulting
Instantiates
Publication
Copyright
Bibliography note
Includes bibliographical references and index
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
  • The initial legal and regulatory responses to the Financial Crisis in the UK
  • The initial response to the Financial Crisis by the EU and elsewhere
  • The impact of the Libor scandal : concerns about misconduct and findings of the conduct costs project
  • Sustainability, responsibility, public trust, ethical drift, and the 'social licence' concept
  • Ethics and standards
  • Financial Services Act 2012 : changes to the regulatory architecture
  • Financial Services (Banking Reform) Act 2013
  • Individual accountability
  • General legal and conduct risk implications of the crises and regulator-led redress
  • Legal and conduct risk in a globalizing financial market
  • Introduction
  • The role of international institutions in financial law reform
  • 'Brexit'
  • A landmark case and its aftermath
  • A case of conceptual impossibility
  • Settling differences
  • Definition
  • Sources of legal risk
  • Causation
  • Property interests in indirectly held investment securities
  • Vague laws
  • Why legal and conduct risks are important : a short history
  • Recharacterization
  • The essentials of legal and conduct risk management
  • Lawyers' responsibility for the management of legal and conduct risk
  • Metrics in conduct risk and reputation management : predictions and perceptions
  • Managing the 'grey areas' : standards, scenario analysis, and case studies
  • A convergance of agendas
  • Risk and capital
  • Legal and conduct risk in the London market
  • The global context
  • The lawmaker, the regulator, and current preoccupations
  • Market and regulatory failure
  • The initial impact of the Financial Crisis on financial markets
Dimensions
26 cm
Edition
Third edition.
Extent
xxxvii, 660 pages
Isbn
9780198749271
Lccn
2017958597
Media category
unmediated
Media MARC source
rdamedia
Media type code
  • n
Other physical details
illustrations
System control number
  • (OCoLC)1005975558
  • (OCoLC)on1005975558
Label
Legal and conduct risk in the financial markets, Roger McCormick, Managing Director, CCP Research Foundation ; former Visiting Professor, London School of Economics and Political Science ; Chris Stears, Research Director, CCP Research Foundation ; Principal Consultant and General Counsel, Medius Consulting
Publication
Copyright
Bibliography note
Includes bibliographical references and index
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
  • The initial legal and regulatory responses to the Financial Crisis in the UK
  • The initial response to the Financial Crisis by the EU and elsewhere
  • The impact of the Libor scandal : concerns about misconduct and findings of the conduct costs project
  • Sustainability, responsibility, public trust, ethical drift, and the 'social licence' concept
  • Ethics and standards
  • Financial Services Act 2012 : changes to the regulatory architecture
  • Financial Services (Banking Reform) Act 2013
  • Individual accountability
  • General legal and conduct risk implications of the crises and regulator-led redress
  • Legal and conduct risk in a globalizing financial market
  • Introduction
  • The role of international institutions in financial law reform
  • 'Brexit'
  • A landmark case and its aftermath
  • A case of conceptual impossibility
  • Settling differences
  • Definition
  • Sources of legal risk
  • Causation
  • Property interests in indirectly held investment securities
  • Vague laws
  • Why legal and conduct risks are important : a short history
  • Recharacterization
  • The essentials of legal and conduct risk management
  • Lawyers' responsibility for the management of legal and conduct risk
  • Metrics in conduct risk and reputation management : predictions and perceptions
  • Managing the 'grey areas' : standards, scenario analysis, and case studies
  • A convergance of agendas
  • Risk and capital
  • Legal and conduct risk in the London market
  • The global context
  • The lawmaker, the regulator, and current preoccupations
  • Market and regulatory failure
  • The initial impact of the Financial Crisis on financial markets
Dimensions
26 cm
Edition
Third edition.
Extent
xxxvii, 660 pages
Isbn
9780198749271
Lccn
2017958597
Media category
unmediated
Media MARC source
rdamedia
Media type code
  • n
Other physical details
illustrations
System control number
  • (OCoLC)1005975558
  • (OCoLC)on1005975558

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