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1 Overview and Glossary

From: The Law of Financial Advice, Investment Management, and Trading

Lodewijk van Setten

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved.date: 28 September 2020

Subject(s):
Banking — Bonds — Derivatives — Stock — Investment business

This book examines the legal and regulatory principles that govern investment in financial assets such as stocks, bonds and derivatives. The focus is on the roles of investment firms and banks during the investment cycle. The book also considers the level of protection — in terms of risk mitigation — against conduct and default risks that the operative legal and regulatory principles offer at the various stages of the investment cycle. This chapter describes the structure of the investment cycle, with emphasis on the professional character of the services and activities of investment firms, as well as the inherent risks of the investment cycle and the risk mitigating impact of the regulatory governance requirements. Furthermore, it explains the use of agency authority by investment firms to perform contracts for investment services. Finally, it provides a glossary of terms used throughout the book.

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