Practitioner S Guide To Conflicts Of Interest In The Financial Services Industry

Author by : Robert Helm
Language : en
Publisher by : Sweet & Maxwell
Format Available : PDF, ePub, Mobi
Total Read : 67
Total Download : 730
File Size : 54,5 Mb
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Description : This title examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry


The Investment Industry For It Practitioners

Author by : Andrew Bradford
Language : en
Publisher by : John Wiley & Sons
Format Available : PDF, ePub, Mobi
Total Read : 61
Total Download : 590
File Size : 54,6 Mb
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Description : Giving IT professionals in financial services firms a rounded and comprehensive grounding in their knowledge of their industry, this book offers a primer on the major financial instruments, transactions, and processes, as well as a sound knowledge of the principles of good IT management in the industry. The book gives readers a clear understanding of equities, bonds, currencies, listed derivatives and OTC derivatives. It explains transactions in those instruments and the requirements of business systems that process these transactions. Transactions covered include (inter-alia) agency and principal purchases and sales, loans and deposits, repos and reverse repos, stock loans; and also the Sharia-compliant 'Islamic' transactions that may be used as alternatives to interest bearing transactions. Andrew Bradford gives an introduction to how investment firms are regulated; offers an understanding of the STP (Straight-through-Processing) concept following the trade cycle for the transactions from order through to execution through pre-settlement to final settlement; covers basic accounting procedures for the transactions; and conveys the basic principles of good IT management in the investment industry.


Serving Two Masters

Author by : Janine Griffiths-Baker
Language : en
Publisher by : Hart Publishing
Format Available : PDF, ePub, Mobi
Total Read : 74
Total Download : 989
File Size : 40,8 Mb
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Description : It is important that lawyers should not allow themselves to act for two clients whose interests may, potentially, conflict. However, this principle is being placed under increasing pressure, the main reasons for this being increased demand for specialist legal services, the globalization of commerce, a dramatic growth in the size of leading law firms, and significantly greater mobility within the legal profession. As a result, there is a growing trend, especially within the commercial legal environment, for solicitors to face conflicts of interest which have no easy solution. Increasingly, conflicts are being "managed" rather than avoided altogether. This is a field within which the Law Society's own rules are flouted on a daily basis, and in which these rules appear increasingly at odds with the common law. Based on extensive interviews with lawyers and their clients, this book provides the first thorough consideration of how conflicts of interest are handled within law firms.


Handbook Of Private Practice

Author by : Steven Walfish
Language : en
Publisher by : Oxford University Press
Format Available : PDF, ePub, Mobi
Total Read : 65
Total Download : 633
File Size : 54,9 Mb
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Description : Handbook of Private Practice is the premier resource for mental health clinicians, covering all aspects of developing and maintaining a successful private practice. Written for graduate students considering the career path of private practice, professionals wanting to transition into private practice, and current private practitioners who want to improve their practice, this book combines the overarching concepts needed to take a mental health practice (whether solo or in a group) from inception, through its lifespan. From envisioning your practice, to accounting and bookkeeping, hiring staff, managing the practice, and running the business of the practice, a diverse group of expert authors describe the practical considerations and steps to take to enhance your success. Chapters cover marketing, dealing with insurance and managed care, and how to choose your advisors. Ethics and risk management are integrated throughout the text with a special section also devoted to these issues and strategies. The last section features 26 niche practices in which expert practitioners describe their special area of practice and discuss important issues and aspects of their specialty practice. These areas include assessment and evaluation, specialized psychotherapy services, working with unique populations of clients, and more. Whether read cover-to-cover or used as a reference to repeatedly come back to when a question or challenge arises, this book is full of practical guidance directly geared to psychologists, counselors, social workers, and marriage and family therapists in independent practice.


Conflict Of Interest In Medical Research Education And Practice

Author by : Institute of Medicine
Language : en
Publisher by : National Academies Press
Format Available : PDF, ePub, Mobi
Total Read : 18
Total Download : 850
File Size : 48,7 Mb
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Description : Collaborations of physicians and researchers with industry can provide valuable benefits to society, particularly in the translation of basic scientific discoveries to new therapies and products. Recent reports and news stories have, however, documented disturbing examples of relationships and practices that put at risk the integrity of medical research, the objectivity of professional education, the quality of patient care, the soundness of clinical practice guidelines, and the public's trust in medicine. Conflict of Interest in Medical Research, Education, and Practice provides a comprehensive look at conflict of interest in medicine. It offers principles to inform the design of policies to identify, limit, and manage conflicts of interest without damaging constructive collaboration with industry. It calls for both short-term actions and long-term commitments by institutions and individuals, including leaders of academic medical centers, professional societies, patient advocacy groups, government agencies, and drug, device, and pharmaceutical companies. Failure of the medical community to take convincing action on conflicts of interest invites additional legislative or regulatory measures that may be overly broad or unduly burdensome. Conflict of Interest in Medical Research, Education, and Practice makes several recommendations for strengthening conflict of interest policies and curbing relationships that create risks with little benefit. The book will serve as an invaluable resource for individuals and organizations committed to high ethical standards in all realms of medicine.


Financial Risk Management

Author by : Steve L. Allen
Language : en
Publisher by : John Wiley & Sons
Format Available : PDF, ePub, Mobi
Total Read : 13
Total Download : 587
File Size : 42,5 Mb
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Description : A top risk management practitioner addresses the essentialaspects of modern financial risk management In the Second Edition of Financial Risk Management +Website, market risk expert Steve Allen offers an insider'sview of this discipline and covers the strategies, principles, andmeasurement techniques necessary to manage and measure financialrisk. Fully revised to reflect today's dynamic environment and thelessons to be learned from the 2008 global financial crisis, thisreliable resource provides a comprehensive overview of the entirefield of risk management. Allen explores real-world issues such as proper mark-to-marketvaluation of trading positions and determination of needed reservesagainst valuation uncertainty, the structuring of limits to controlrisk taking, and a review of mathematical models and how they cancontribute to risk control. Along the way, he shares valuablelessons that will help to develop an intuitive feel for market riskmeasurement and reporting. Presents key insights on how risks can be isolated, quantified,and managed from a top risk management practitioner Offers up-to-date examples of managing market and creditrisk Provides an overview and comparison of the various derivativeinstruments and their use in risk hedging Companion Website contains supplementary materials that allowyou to continue to learn in a hands-on fashion long after closingthe book Focusing on the management of those risks that can besuccessfully quantified, the Second Edition of FinancialRisk Management + Websiteis the definitive source for managingmarket and credit risk.


Banking World

Author by :
Language : en
Publisher by :
Format Available : PDF, ePub, Mobi
Total Read : 69
Total Download : 342
File Size : 47,8 Mb
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Description :


Bpr

Author by :
Language : en
Publisher by :
Format Available : PDF, ePub, Mobi
Total Read : 50
Total Download : 881
File Size : 44,9 Mb
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Description :