Handbook of investment administration:
Saved in:
| Main Author: | |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
Chichester
Wiley
2007
|
| Series: | Securities & Investment Institut
|
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Physical Description: | XVII, 501 S. |
| ISBN: | 9780470033623 0470033622 |
Staff View
MARC
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Record in the Search Index
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| adam_text | CONTENTS
About the author xiii
Introduction xv
PARTI: INTRODUCTORY ELEMENTS 1
1 WEALTH MANAGEMENT 3
1.1 Introduction 4
1.2 Wealth management market 5
1.3 Types of business 7
1.4 Investment services and products 11
1.5 Investment firms 19
1.6 Investment administration 27
PART II: INVESTMENT ADMINISTRATION 31
2 NEW AND CLOSING BUSINESS 33
2.1 Introduction 34
2.2 New business 35
2.3 Client types 38
2.4 Know your customer 42
2.5 Agreements 46
2.6 Account opening 47
2.7 Money laundering 49
2.8 Validating the assets 52
2.9 Transferring assets 55
2.10 Raising assets 57
2.11 Closing business and transfers 59
2.12 Death of a client 67
3 TRADING 77
3.1 Introduction 78
3.2 Stock market developments 79
3.3 Equity trading 81
3.4 Bond trading 94
3.5 Regulation 100
4 SETTLEMENT 107
4.1 Introduction 108
4.2 Fundamentals of settlement 108
4.3 Settlement process 123
4.4 UK settlement 129
4.5 International settlement 145
5 CORPORATE ACTIONS 151
5.1 Introduction 152
5.2 Corporate actions industry 152
5.3 Types of event 154
5.4 Private client corporate action
processing 160
5.5 Corporate events 172
5.6 Income events 190
PART III: OTHER CONSIDERATIONS 207
6 CUSTODY 209
6.1 Introduction 210
6.2 Protection of client assets 210
6.3 Segregation of safe custody assets 211
6.4 Use of a custodian 212
6.5 Nominee companies 213
6.6 Global custodians 215
6.7 Selecting a custodian 216
6.8 Custody agreements and SLAs 218
6.9 Reviewing the suitability of
custodians 221
7 TAX 225
7.1 Introduction 226
7.2 Income tax 226
7.3 Tax treatment of dividends 231
7.4 Capital gains tax 238
7.5 Residence and domicile 247
7.6 Withholding tax 250
7.7 EU savings directive 256
8 POWERS OF ATTORNEY 259
8.1 Introduction 260
8.2 Background 260
8.3 Parties and terminology 261
8.4 Enduring power of attorney 263
8.5 Receiverships 269
8.6 Mental capacity act 2005 273
8.7 Administration 275
9 OUTSOURCING 285
9.1 Introduction 286
9.2 Development of outsourcing 287
9.3 Risks associated with outsourcing 289
9.4 Regulatory principles 294
PART IV: INVESTMENT ACCOUNTS
AND PRODUCTS 303
10 INDIVIDUAL SAVINGS
ACCOUNTS (ISAS) 305
10.1 Introduction 306
10.2 Development of ISAs and PEPs 306
10.3 Organisation and regulation 308
10.4 Individual savings accounts 314
10.5 Allowable investments 318
10.6 New and closing business 319
10.7 Voids and repairs 326
10.8 Residence 329
10.9 Investor reporting 332
10.10 Reform of the ISA regime 336
11 COLLECTIVE INVESTMENT SCHEMES 339
11.1 Introduction 340
11.2 Regulation of UK funds 341
11.3 Types of UK funds 344
11.4 Fund administration 349
11.5 Pricing 350
11.6 Dealing and settlement 355
11.7 Share register 357
11.8 Dividend and interest distributions 358
11.9 Investor reporting 360
12 TRUSTS 363
12.1 Introduction 364
12.2 Development of trusts 364
12.3 Fundamentals of trusts 367
12.4 Investment administration 386
13 CHARITIES 399
13.1 Introduction 400
13.2 What is a charity? 400
13.3 Legal background to investment by
charities 402
13.4 Trustee investment powers
and duties 406
13.5 Investment policy 411
13.6 Appointing an investment manager 413
13.7 Common investment funds 415
13.8 Use of nominees and custodians 416
14 SELF INVESTED PERSONAL PENSIONS 419
14.1 Introduction 420
14.2 Development of SIPPs 421
14.3 What is a SIPP? 423
14.4 Setting up a SIPP 425
14.5 Eligibility and contributions 426
14.6 Permitted investments 426
14.7 Benefits 428
15 DERIVATIVE PRODUCTS 431
15.1 Introduction 432
15.2 Types of derivatives 433
15.3 Uses of derivates 438
15.4 Derivatives markets 440
15.5 Structured products 444
15.6 Covered warrants 451
15.7 Exchange traded commodities 457
15.8 Contracts for difference 459
Glossary 463
Bibliography 481
Reading Material 483
Index 487
|
| adam_txt |
CONTENTS
About the author xiii
Introduction xv
PARTI: INTRODUCTORY ELEMENTS 1
1 WEALTH MANAGEMENT 3
1.1 Introduction 4
1.2 Wealth management market 5
1.3 Types of business 7
1.4 Investment services and products 11
1.5 Investment firms 19
1.6 Investment administration 27
PART II: INVESTMENT ADMINISTRATION 31
2 NEW AND CLOSING BUSINESS 33
2.1 Introduction 34
2.2 New business 35
2.3 Client types 38
2.4 Know your customer 42
2.5 Agreements 46
2.6 Account opening 47
2.7 Money laundering 49
2.8 Validating the assets 52
2.9 Transferring assets 55
2.10 Raising assets 57
2.11 Closing business and transfers 59
2.12 Death of a client 67
3 TRADING 77
3.1 Introduction 78
3.2 Stock market developments 79
3.3 Equity trading 81
3.4 Bond trading 94
3.5 Regulation 100
4 SETTLEMENT 107
4.1 Introduction 108
4.2 Fundamentals of settlement 108
4.3 Settlement process 123
4.4 UK settlement 129
4.5 International settlement 145
5 CORPORATE ACTIONS 151
5.1 Introduction 152
5.2 Corporate actions industry 152
5.3 Types of event 154
5.4 Private client corporate action
processing 160
5.5 Corporate events 172
5.6 Income events 190
PART III: OTHER CONSIDERATIONS 207
6 CUSTODY 209
6.1 Introduction 210
6.2 Protection of client assets 210
6.3 Segregation of safe custody assets 211
6.4 Use of a custodian 212
6.5 Nominee companies 213
6.6 Global custodians 215
6.7 Selecting a custodian 216
6.8 Custody agreements and SLAs 218
6.9 Reviewing the suitability of
custodians 221
7 TAX 225
7.1 Introduction 226
7.2 Income tax 226
7.3 Tax treatment of dividends 231
7.4 Capital gains tax 238
7.5 Residence and domicile 247
7.6 Withholding tax 250
7.7 EU savings directive 256
8 POWERS OF ATTORNEY 259
8.1 Introduction 260
8.2 Background 260
8.3 Parties and terminology 261
8.4 Enduring power of attorney 263
8.5 Receiverships 269
8.6 Mental capacity act 2005 273
8.7 Administration 275
9 OUTSOURCING 285
9.1 Introduction 286
9.2 Development of outsourcing 287
9.3 Risks associated with outsourcing 289
9.4 Regulatory principles 294
PART IV: INVESTMENT ACCOUNTS
AND PRODUCTS 303
10 INDIVIDUAL SAVINGS
ACCOUNTS (ISAS) 305
10.1 Introduction 306
10.2 Development of ISAs and PEPs 306
10.3 Organisation and regulation 308
10.4 Individual savings accounts 314
10.5 Allowable investments 318
10.6 New and closing business 319
10.7 Voids and repairs 326
10.8 Residence 329
10.9 Investor reporting 332
10.10 Reform of the ISA regime 336
11 COLLECTIVE INVESTMENT SCHEMES 339
11.1 Introduction 340
11.2 Regulation of UK funds 341
11.3 Types of UK funds 344
11.4 Fund administration 349
11.5 Pricing 350
11.6 Dealing and settlement 355
11.7 Share register 357
11.8 Dividend and interest distributions 358
11.9 Investor reporting 360
12 TRUSTS 363
12.1 Introduction 364
12.2 Development of trusts 364
12.3 Fundamentals of trusts 367
12.4 Investment administration 386
13 CHARITIES 399
13.1 Introduction 400
13.2 What is a charity? 400
13.3 Legal background to investment by
charities 402
13.4 Trustee investment powers
and duties 406
13.5 Investment policy 411
13.6 Appointing an investment manager 413
13.7 Common investment funds 415
13.8 Use of nominees and custodians 416
14 SELF INVESTED PERSONAL PENSIONS 419
14.1 Introduction 420
14.2 Development of SIPPs 421
14.3 What is a SIPP? 423
14.4 Setting up a SIPP 425
14.5 Eligibility and contributions 426
14.6 Permitted investments 426
14.7 Benefits 428
15 DERIVATIVE PRODUCTS 431
15.1 Introduction 432
15.2 Types of derivatives 433
15.3 Uses of derivates 438
15.4 Derivatives markets 440
15.5 Structured products 444
15.6 Covered warrants 451
15.7 Exchange traded commodities 457
15.8 Contracts for difference 459
Glossary 463
Bibliography 481
Reading Material 483
Index 487 |
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| spelling | Rothwell, Kevin Verfasser aut Handbook of investment administration Kevin Rothwell Chichester Wiley 2007 XVII, 501 S. txt rdacontent n rdamedia nc rdacarrier Securities & Investment Institut Financial planners Handbooks, manuals, etc Investment advisors Handbooks, manuals, etc Portfolio management Handbooks, manuals, etc Saving and investment Handbooks, manuals, etc Portfoliomanagement (DE-588)4115601-8 gnd rswk-swf Investition (DE-588)4027556-5 gnd rswk-swf (DE-588)4048476-2 Ratgeber gnd-content Portfoliomanagement (DE-588)4115601-8 s Investition (DE-588)4027556-5 s DE-604 HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=015720088&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Rothwell, Kevin Handbook of investment administration Financial planners Handbooks, manuals, etc Investment advisors Handbooks, manuals, etc Portfolio management Handbooks, manuals, etc Saving and investment Handbooks, manuals, etc Portfoliomanagement (DE-588)4115601-8 gnd Investition (DE-588)4027556-5 gnd |
| subject_GND | (DE-588)4115601-8 (DE-588)4027556-5 (DE-588)4048476-2 |
| title | Handbook of investment administration |
| title_auth | Handbook of investment administration |
| title_exact_search | Handbook of investment administration |
| title_exact_search_txtP | Handbook of investment administration |
| title_full | Handbook of investment administration Kevin Rothwell |
| title_fullStr | Handbook of investment administration Kevin Rothwell |
| title_full_unstemmed | Handbook of investment administration Kevin Rothwell |
| title_short | Handbook of investment administration |
| title_sort | handbook of investment administration |
| topic | Financial planners Handbooks, manuals, etc Investment advisors Handbooks, manuals, etc Portfolio management Handbooks, manuals, etc Saving and investment Handbooks, manuals, etc Portfoliomanagement (DE-588)4115601-8 gnd Investition (DE-588)4027556-5 gnd |
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