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Published: 22 May 2018

704 Pages

9.7 x 6.7 inches

ISBN: 9780198749271

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Bookseller Code (07)

A new practitioner law publication

Legal and Conduct Risk in the Financial Markets

Third Edition

Roger McCormick and Chris Stears

  • The only book to focus on legal and conduct risk in financial institutions
  • Considers the practical impact of changes in the law and professional standards relating to the management of legal and conduct risk

New to this Edition:

  • Includes a new section on the 'Conduct Crisis', introducing issues of conduct risk, conduct costs, as well as sustainability, ethics and standards
  • Updated to cover important changes in the law relating to the insolvency/resolution of banks, the UK regulatory architecture, the "casino/utility" divide, and the new crime of "reckless mismanagement of a bank>
  • Draws on the substantial research material generated by the Conduct Costs Project of the CCP Research Foundation
  • Includes material on post-crisis changes to the regulatory architecture, the impact of trenchant policy objectives to address individual accountability concerns and analyses the legal risk developments in mis-selling cases and regulator-led redress schemes
  • A legal risk management section that is updated to include conduct risk management techniques, common issues and current proposals
  • Explores trends in possible new developments, such as fiduciary duty as it affects the participants of financial markets

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Related Categories

Law > Financial Law > Banking Law