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List of contents
- 1: Overview and Terminology
- 2: Financial Assets and Investment
- 3: Safeguarding money, book-entry securities, and CCP cleared contracts
- 4: Key concepts in the law and regulation of investment firm conduct
- 5: The contractual conduct framework
- 6: Trading and settlement
- 7: Investment and wealth management
About the author
Lodewijk van Setten is Visiting Professor of Financial Law at King's College London and Senior Financial Services Consultant. He has wide-ranging experience in the financial services sector, including tenures as International COO and Managing Director at Morgan Stanley Investment Management and European Counsel at State Street Global Advisors, and present engagements as Senior Consultant to institutional financial services clients. He has published widely on investment management and funds including Van Setten: The Law of Institutional Investment Management (OUP, 2009), and Van Setten and Busch: Alternative Investment Funds in Europe - Law and Practice (OUP, 2014). This book is the natural successor to his 2009 work, tackling the subject on a broader, practical, and more rounded basis.
Summary
This work provides guidance on legal and regulatory risks, and the protection of the investor, throughout the investment cycle, analysing financial investments, their markets, the market infrastructure, and the roles and responsibilities of financial intermediaries.
