Laws and Regulations in Global Financial Markets

The major financial scandals of the past decade, which have been discussed exhaustively in corporate offices by corporate attorneys, and in accounting firms, have led to the passage of massive Congressional enactments in the United States that impact the world of finance. The enactment of the Sarbanes-Oxley Act in 2002, with its significant provisions of 20-year imprisonment for certain offenses, and the conviction of Enron's CEO and other senior executives, finally caught the attention of corporate executives. Laws and Regulations in Global Financial Markets presents students, researchers, and practitioners with an in-depth global analysis of the legal and regulative aspects of corporate financial markets. Readers are introduced to international developments concerning rules and regulations impacting investment advisers and broker-dealers, bankruptcy law, important legal changes influencing banks and credit ratings organizations, real estate regulations, and insurance law. The book concludes with a discussion of personal finance, financial literacy, and federal statutes centered around the subject matter.

"Laws and Regulations in Global Financial Markets is a perfectly balanced, direct, easy to understand yet comprehensive text from a master teacher. The book offers direct prose perfectly organized to take students well beyond surface level understanding of the material covered, as well as a welcomed international perspective." - Victor D. López, Associate Professor of Legal Studies in Business, Hofstra University, USA

"Dr. Girasa's book bridges the considerable gap between purely academic case books and strictly pragmatic practice guides. As general counsel of an investment advisor, I appreciate the ability to 'get smart' on a relevant topic by reading the appropriate chapter in this book. The discussions are concise and the questions posed are thought-provoking. This will be a useful tool for practitioners in a variety of disciplines." - Jordan Breslow, General Counsel, New Island Capital Management

Autorentext
Roy Girasa is Program Chair, Dept. of Legal Studies and Taxation at Pace University, USA.

Inhalt

1. Investment Adviser Regulation 2. Regulation of Broker-Dealers 3. Mergers and Acquisitions 4. Bankruptcy of Business Enterprises 5. Banking Regulation and Credit Rating Organizations 6. Real Estate Financing Regulations 7. Selected Topics in Insurance Regulation 8. Consumer Protection and Personal Finance