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西 文 書 籍 及 多 媒 體 > 產 品 > 法 律 類 > 金融法規

Securities Litigation, Enforcement, and Compliance: Cases and Materials(文景書局)

ISBN: 9781647083571 Year: 2023 Editon: 5  Price: US$ 275.00
Author: Donna M. Nagy

Insider Trading Law and Policy(文景書局)

ISBN: 9781636599465 Year: 2023 Editon: 2  Price: US$ 57.00
Author: Stephen M. Bainbridge
A b s t r a c t


This thoroughly revised and updated text is for use in law school classes on insider trading, securities regulation, or business associations. In a thorough yet compact fashion, it offers a clear and direct exposition of the law and policy concerns raised by this important and high-profile area of the law. The author provides sufficient detail for a complete understanding of the subject without getting bogged down in minutiae. Faculty interested in teaching a short course on insider trading or making insider trading a major part of a course in securities or corporate law will find the text highly teachable, while students staking such a course using other materials will find it a useful study aid.


Problems and Materials on Secured Transactions(文景書局)

ISBN: 9781685615406 Year: 2023 Editon: 6  Price: US$ 280.00
Author: Stephen L. Sepinuck
A b s t r a c t


This book teaches students about secured transactions and the law that governs them, while simultaneously training students in the use and interpretation of statutes. Because of the focus on statutory interpretation, the book contains few judicial opinions. Instead, it contains 186 carefully sequenced problems for students to solve and which serve as the foundation for classroom discussion. The problems are preceded by textual discussion designed to help students understand the relevant statutory provisions and the transactions to which those provisions apply. Most of the problems require students to apply the law to specified facts but a few of the problems do the reverse: they challenge the students to describe a set of facts to which a statutory provision applies. Some other problems ask students to identify the reason underlying a rule and some ask students to draft language for an agreement or other plan a specified transaction. The book includes material addressing the 2022 UCC Amendments.


Commercial Finance: A Transactional Approach(文景書局)

ISBN: 9781685617196 Year: 2023 Editon: 2  Price: US$ 270.00
Author: Ronald J. Mann
A b s t r a c t


The Commercial Finance book is designed to update (and replace) the course on “Secured Credit” traditionally taught in law school. By shifting the focus to commercial finance from Article 9, and by shifting the materials to emphasize pro-active document design and analysis as opposed to re-active case analysis, the book supports a course that is at once more consonant with the likely career paths of our students and at the same time more experiential than the doctrinal materials that they replace. The course omits the coverage of consumer transactions, which fills a large part of the traditional Secured Credit course, and substitutes a discussion of mortgages parallel to its discussion of lending under Article 9. Within the curriculum, the course parallels the course on corporate finance—covering all of the major types of lending to businesses that do not involve the public securities markets—and provides an excellent foundation for a commercial bankruptcy course.


Secured Transactions in Personal Property(文景書局)

ISBN: 9781685614355 Year: 2023 Editon: 11  Price: US$ 275.00
Author: Warren, William D.
A b s t r a c t


This law school casebook provides a detailed examination of secured transactions in personal property in both the commercial and consumer context. The Eleventh Edition treats in detail the provisions of Article 9 (Secured Transactions) and related Articles of the Uniform Commercial Code. It includes a description and application of the 2022 Amendments to Article 9 and other Articles, recent important cases applying Article 9, and new problems and notes covering statutory innovations. This edition retains the mix of problems and cases present in previous editions as well as relevant forms.


A Practitioner's Guide to the Law and Regulation of Market Abuse(文景書局)

ISBN: 9780414102255 Year: 2022 Editon: 3  Price: GBP 213.00
Author: Anderson, Karen
A b s t r a c t


A Practitioner’s Guide to the Law and Regulation of Market Abuse covers all aspects of the law relating to market abuse in the United Kingdom. It examines the regulation of market abuse under the Financial Conduct Authority and explains the practical application of the market abuse regime in relation to specific industry areas including primary markets, mergers and acquisitions, listed companies, sales and trading, commodity derivatives and fund management.


Market Conduct for Investment Managers(文景書局)

ISBN: 9780414103702 Year: 2022 Editon: 2  Price: GBP 108.00
Author: David Berman
A b s t r a c t


Market Conduct for Investment Managers is a practical guide for investment managers who face a distinct range of market conduct issues. Many texts have been published into the generalities and technicalities of the market conduct regime, however, none has focused on the so-called “buy-side”. The book is designed to help navigate this complex area by raising levels of awareness and intuitive understanding through the use of real-world insights and a host of case studies and practical scenarios.


Regulation of Cryptoassets(文景書局)

ISBN: 9781636594804 Year: 2022 Editon: 2  Price: US$ 210.00
Author: Carol Goforth
A b s t r a c t


The materials in this book are designed to look at cryptoassets and the expanding world of cryptotransactions to examine the regulatory regimes surrounding these assets and markets and how those regimes are developing. Because the technology behind and legal reaction to crypto are evolving so rapidly and are still in the early stages, it is not possible to create a traditional casebook that focuses only on settled judicial opinions to illustrate relevant legal issues and rules. These materials therefore look at various statutes, rules, and regulatory structures that predate the advent of crypto along with mission and informational statements promulgated by the agencies most closely involved with regulation of cryptoassets and cryptotransactions. The book also covers recent administrative and judicial decisions addressing crypto-related issues and involving cryptoasset and fintech firms, as well as a range of other materials such as pleadings, briefs, agency guidelines and proposed regulations, and academic commentary. The book examines a broad range of regulatory regimes, and although it focuses primarily on U.S. federal law, it also introduces applicable state law, international law, and European Union law.


Regulation of Bank Financial Service Activities: Cases and Materials(文景書局)

ISBN: 9781647084394 Year: 2022 Editon: 6  Price: US$ 275.00
Author: Lissa L. Broome
A b s t r a c t


This edition incorporates developments in bank and financial services legislation and regulation that have occurred through June 2021, including the Trump administration’s regulatory initiatives in respect of the Dodd-Frank Act. The sixth edition organizes the chapters into three thematic Parts to help focus classroom discussion. Part One surveys the depository bank business model, the dual banking system, and its layered regulatory structure, including the role of financial holding companies, bank subsidiaries, and nonbank affiliates active across financial markets. The materials emphasize that though the majority of depository institutions are thrifts, credit unions, and community banks, consolidation and conglomeration have left the lion’s share of bank assets in the hands of a few large banking organizations that dominate national and global markets, presenting unique regulatory challenges.


SB01-504 Private Equity Law and Practice(文景書局)

ISBN: 9780414090378 Year: 2021 Editon: 7  Price: GBP 365.00
Author: Darryl J. Cooke
A b s t r a c t


The 7th edition of Private Equity: Law and Practice by Darryl Cooke provides an invaluable guide to the law and practice of private equity transactions. Whether you are a lawyer advising a private equity house or a management team wishing to buy a company or simply a company seeking funds, this book will be your go-to reference source. Guiding you through every part of a transaction, from raising private equity through managing the transaction to restructuring the company, it provides information and offers advice at each stage. It explains the legal regulations for tax relief and share capital as well as covering due diligence and issues relating to directors and employers. Not only that, helpful checklists for all legal and business aspects of private equity are provided along with a glossary of private equity terms. Darryl considers the role of a lawyer leading a transaction and offers invaluable advice on how to be a trusted advisor and how to bring real value to the table.


Financial Regulation: Law and Policy(文景書局)

ISBN: 9781647084837 Year: 2021 Editon: 3  Price: US$ 279.00
Author: Michael S. Barr
A b s t r a c t


The Third Edition of Financial Regulation: Law and Policy continues to offer students and faculty an innovative and accessible introduction to the field. Financial regulation has long been at the intersection of technological innovation, market forces, and the political economy, punctuated from time to time by financial and economic crises. Since the turn of the millennium, we have seen these pressures intensify and multiply. We have lived through the most systemic Financial Crisis in 70 years, a major shift in regulatory design, the digital transformation of the economy, including the financial sector, and a worldwide Pandemic with still uncertain economic impact, playing out against an increasingly divided and shifting political landscape. The Third Edition has been updated to keep pace with all of these changes. You will find extensive discussions of fintech, climate change, and racial equality across the Third Edition, as these topics move from the periphery to the center of the regulatory agenda. The Third Edition also adds a stand-alone Chapter on supervision, an important topic that we expect will be receiving more academic research and attention, as well as an expanded Chapter on enforcement.


Broker-Dealer Regulation in a Nutshell(文景書局)

ISBN: 9781647083953 Year: 2021 Editon: 4  Price: US$ 58.00
Author: Thomas Lee Hazen
A b s t r a c t


This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).


Hedge Funds and the Law(文景書局)

ISBN: 9780414087507 Year: 2021 Editon: 3  Price: GBP 293.00
Author: Dick Frase
A b s t r a c t


Hedge Funds and the Law provides a comprehensive guide to setting up and operating hedge funds. This book covers all the key legal, regulatory, and tax matters that need to be considered and covered when setting up a fund and explains how a fund should be operated so as to comply with the laws and regulations within its jurisdiction. Topical issues around hedge funds and current problems in the market are summarised, along with the principal characteristics of a hedge fund, who typically invests in hedge funds and why. The book also discusses what the future may hold in terms of greater regulation and the challenges that these changes will bring.


A Practitioner's Guide to The Regulation of Insurance(文景書局)

ISBN: 9780414075702 Year: 2021 Editon: 6  Price: GBP 205.00
Author: Charles Rix
A b s t r a c t


A Practitioner’s Guide to the Regulation of Insurance examines the UK and European regulatory regimes and their impact on the insurance industry, providing practical advice for compliance officers and professional advisers. It covers all aspects of the life and non-life insurance industries, from establishment, authorisation and ownership to conduct of business and financial supervision. There is also coverage of reinsurance and friendly societies.

This fully revised new edition includes new content on the Solvency II Directive, the Insurance Distribution Directive, GDPR, Senior Manager and Certification Regime (SMCR), Risk Transformation Regulations 2017 and the impact of Brexit.


Securities Regulation, Cases and Materials(文景書局)

ISBN: 9781647087753 Year: 2021 Editon: 14  Price: US$ 279.00
Author: John C. Coffee Jr.

The Law of Securities Regulation(文景書局)

ISBN: 9781642424096 Year: 2021 Editon: 8  Price: US$ 162.00
Author: Thomas Lee Hazen
A b s t r a c t


This Hornbook is a comprehensive secondary source for the study of Securities Regulation. It also can serve as a lawyer’s desk book. Coverage includes definition of “security,” registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, the Investment Company Act and the Investment Advisers Act. This new edition reflects recent SEC rulemaking, including important amendments to exemptions from registration, new broker-dealer obligations, as well as recent Supreme Court and many other case law developments.


Principles of Securities Regulation(文景書局)

ISBN: 9781642424102 Year: 2021 Editon: 5  Price: US$ 65.00
Author: Thomas Lee Hazen
A b s t r a c t


This book includes the most recent developments in securities regulation in an accessible format. Authoritative coverage includes the definition of “security,” registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, and provides overviews of the Investment Company Act and the Investment Advisers Act. This 5th edition updates the 4th edition to include recent SEC rulemaking including important amendments to exemptions from registration, new broker-dealer obligations, as well as recent Supreme Court and many other case law developments.


Accounting and Finance for Lawyers in a Nutshell(文景書局)

ISBN: 9781647083007 Year: 2021 Editon: 7  Price: US$ 58.00
Author: Meyer, Charles H.
A b s t r a c t


This product provides a well-rounded summary of the relevant accounting areas from basic financial statements to complex earnings-per-share ratios and corporate finance and valuation. Learn how to recognize revenue, expenses, assets, and liabilities. It reviews accounting principles for many different areas, including acquisitions, investments, long-term debt, leases, stocks, and partnerships. It also discusses recent developments such as adoption of new requirements to place most operating leases on the lessee’s balance sheet, a new principles based approach to accounting for revenue, and refinements in the accounting for stock options.


Securities Litigation and Enforcement in a Nutshell(文景書局)

ISBN: 9781647082734 Year: 2021 Editon: 2  Price: US$ 58.00
Author: Sachs, Margaret V.
A b s t r a c t


The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large publicly traded companies. It is an area of law that has only continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012, and with several recent rulings by the U.S. Supreme Court. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims.


Effective Legal Protection in Banking Supervision(文景書局)

ISBN: 9789462512528 Year: 2021  Price: EUR 69.5
Author: Laura Wissink
A b s t r a c t


This book provides an in-depth analysis of the effectiveness of legal protection in the composite procedures in place within the Single Supervisory Mechanism (SSM), established to ensure an effective prudential banking supervision within the euro area. This system, in which the European Central Bank and national prudential banking supervisors closely cooperate, results in a far-reaching shared administration entailing supervisory decisions based on complex composite administrative procedures which involve both EU and national legal orders. The current system of legal protection seems not yet fully-fledged to the reality of increasingly far-reaching forms of shared administration for the implementation of EU law. This book addresses the tension between ensuring effective supervision, by means of a shared administration, and ensuring effective legal protection in composite administrative procedures. To arrive at a meaningful discussion of the SSM’s far-reaching shared administration, it categorizes the composite procedures in place within the SSM in such a way that other shared administrations in fields of law such as the European Structural Funds, fisheries, and the Single Resolution Mechanism may also benefit from its insights. The book not only discusses the challenges for the effectiveness of legal protection within the SSM, but also seeks to provide solutions within the current EU system of legal remedies and procedures as well as possible long-term solutions.


SB01-496 Salinger on Factoring(文景書局)

ISBN: 9780414067592 Year: 2020 Editon: 6  Price: GBP 310.00
Author: ASimon Mills
A b s t r a c t


Salinger on Factoring is renowned for its highly practical approach to the law and practice relating to factoring and invoice finance. It combines a clear understanding of the law with clear and concise guidance on its implementation. This title has been the trusted guide to this complex area of law for nearly 30 years providing a detailed examination of, and guide to, the legal issues that arise from domestic and international factoring.


Securities Regulation: Cases and Materials(文景書局)

ISBN: 9781642424003 Year: 2020 Editon: 10  Price: US$ 279.00
Author: Thomas Lee Hazen
A b s t r a c t


The Tenth Edition covers recent developments in the courts and SEC rulemaking, including 1933 Act registration and broker-dealer regulation developments. In addition to the leading cases and SEC developments, the book has been significantly revised for accessibility, and includes explanatory material to guide the student through this complex maze of regulation. There are problems interspersed throughout the book for teachers using the problem method. The Tenth Edition enables instructors to easily omit or rearrange material.


Byles on Bills of Exchange and Cheques(文景書局)

ISBN: 9780414064966 Year: 2020 Editon: 30  Price: GBP 356.00
Author: Elliott, Nicholas
A b s t r a c t


Byles on Bills of Exchange and Cheques is the essential reference guide to the regulation and use of payment instruments. Giving a detailed account of the law of bills of exchange, promissory notes and cheques, this classic text sets out the substantive and procedural law, as well as the application of the laws of principal and surety and insolvency to this context.
The new 30th edition incorporates legislative developments and recent caselaw from the UK and Commonwealth, as well as expanded discussion of set-offs.


The Modern Contract of Guarantee(文景書局)

ISBN: 9780414067479 Year: 2020 Editon: 4  Price: GBP 364.00
Author: John Phillips
A b s t r a c t


The Modern Contract of Guarantee provides readers with a detailed reference work on the law of guarantees. It provides practical insights into areas such as the validity and construction of guarantees, how to avoid a guarantee being discharged and common difficulties with enforcement. It also contains drafting guidance and a useful comparative discussion of developments in England and Commonwealth countries.


SB01-485 Project Finance, Securitisations, Subordinated Debt(文景書局)

ISBN: 9780414044722 Year: 2019 Editon: 3  Price: GBP 292.00
Author: Philip R. Wood

SB01-484 Set-Off and Netting, Derivatives, Clearing System(文景書局)

ISBN: 9780414044746 Year: 2019 Editon: 3  Price: GBP 292.00
Author: Philip R. Wood
A b s t r a c t


The Law and Practice of International Finance series is your definitive guide to international finance. It considers the full range of topics across nine volumes, setting out the law and practice of trading assets on the international markets. This essential work, by one of the leading finance specialists of a generation, provides a simple, unified and distilled account of the whole topic.


SB01-484 Commercial and Debtor-Creditor Law Selected Statutes, 2019 Edition(文景書局)

ISBN: 9781642429138 Year: 2019  Price: US$ 65.00
Author: Douglas G. Baird

SB01-484 Banking and Financial Institutions Law in a Nutshell(文景書局)

ISBN: 9781684674329 Year: 2019 Editon: 9  Price: US$ 58.00
Author: Michael P. Malloy
A b s t r a c t


Authoritative coverage provides a foundation for understanding core concepts and recent developments in banking and financial institutions. This Nutshell title covers subjects such as the history and structure of the financial services industry and its regulators, interaction of law with monetary and economic policy, increased competition, bank and thrift failures, large-scale bailouts, and deregulation and restructuring efforts. Unresolved challenges include budget stimulus, treatment of deficits, and new questions about the appropriate role of supervision by regulators.


SB01-484 Securities Regulation: Cases and Analysis(文景書局)

ISBN: 9781640209718 Year: 2019 Editon: 5  Price: US$ 279.00
Author: Stephen J. Choi
A b s t r a c t


This casebook offers a clear and concise introduction to the economics and regulation of securities markets, with a single-minded focus on disclosure and the economics of disclosure. It is concise, easy to read, and student friendly.

The casebook makes securities regulation easy to teach and understand. It focuses on the important principles students need to understand to be effective corporate lawyers. The chapters are organized around motivating hypotheticals that illustrate the various issues relating to each chapter’s topic. These hypotheticals make it easier for the students to follow the material. In addition, they are a useful teaching device allowing students to grapple with issues that they are likely to face as corporate lawyers. The supporting materials for the book also provide role-playing and prospectus-drafting exercises to involve students in learning tedious securities materials (e.g, prospectuses). The book avoids policy debates and instead focuses on understanding the rules as they are. It contains tables and charts to organize complicated material, along with a comprehensive set of PowerPoint slides for presenting the material.

This casebook focuses on overarching topics such as materiality and the definition of a security up front, before delving into the details of how the Securities Exchange Act of 1934 and the Securities Act of 1933 operate. The Sarbanes-Oxley, Dodd-Frank, and JOBS Act (JOBS Act), are all covered, with separate chapters devoted to enforcement and gatekeepers. The Fifth Edition has been revised to reflect significant developments in securities fraud litigation and insider trading, as well as new material relating to cybersecurity and cryptocurrency.


SB01-484 Security Interests and Title Finance: Jurisdictions of the World(文景書局)

ISBN: 9780414071490 Year: 2019  Price: GBP 292.00
Author: Philip R. Wood

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