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Practitioner's Guide to the Regulation of Investment Banking, A

Practitioner's Guide to the Regulation of Investment Banking, A
3rd Edition
ISBN:  9780414028135
Published by:  Sweet & Maxwell
Consultant Editor:Simon Gleeson
Publication Date:  12 Nov 2013
Subscription Information:  Non-Subscribable Product
Format:  Paperback
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A Practitioner's Guide to Investment Banking is a complete guide to the regulation of investment banking activities, helping you to understand how changes to the UK financial regulatory systems affect your organisation and your responsibilities - and how to remain compliant with UK, European and international regulations.

The new 3rd edition covers the most important developments since the publication of the previous edition in 2006.

  • Covers all the latest regulatory developments to impact investment banking activities, including the Banking Reform Bill; Basel III; MiFID II, Dodd Frank; the Market Abuse Directive Review
  • Deals with all types of investment banking transactions including equity captial markets, derivatives, loan markets and short selling
  • Explains how the new UK regulatory structure and the role of the Prudential Regulation Authority impact investment banking
  • Covers the practice impact of the Banking Reform Bill and the ring-fencing of retail banking operations
  • Includes guidance on the impact of the Dodd Frank Act outside the US
  • Advises on key areas of compliance such as governance, client assets, market abuse and confidentiality
  • Includes chapters from some of the foremost banking and finance regulatory practitioners in the UK


  1. The Regulatory Landscape and the Role and Statutory Powers of the Regulators
    Simon Gleeson, Clifford Chance
  2. Governance and Senior Management
    Bridget Barker, Macfarlanes
  3. Cleared and Uncleared Derivatives
    Rachel Hugh-Jones, Clifford Chance
  4. Securities markets, clearing and settlement
    Caroline Meinertz, Clifford Chance
  5. Short selling
    Christopher Leonard, Bingham McCutchen
  6. Market Abuse Regime
    Carlos Conceicao and Chris Stott, Clifford Chance
  7. Debt Securities, Asset-backed Securities and Derivative Securities, the Prospectus Directive Regime
    Penny Miller and Rachel McGivern, Simmons & Simmons
  8. Loan Markets
    Clare Dawson, Loan Market Association
  9. Impact of Dodd Frank outside the US
    Patrick Kenadjian, Annetter Nazareth and Gabriel Rosenberg, Davis Polk & Wardwell
  10. Equity Capital Markets
    Lucy Fergusson, Linklaters
  11. Client Assets
    Chris Sermon, PricewaterhouseCoopers
  12. Conflicts and Confidential Information
    Peter Snowdon, Norton Rose


The new edition is completely revised and restructured to cover:

  • The transition from the FSA and the advent of the Prudential Regulation Authority and Financial Conduct Authority
  • The impact of the Vickers review and the Banking Reform Bill, which proposes separation of investment and retail banking operations
  • Basel III
  • The Market Abuse Directive review
  • MiFID II
  • Derivatives clearing regulations
  • The UK Corporate Governan
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