Journals Higher Education
Important OUP's Response to COVID-19 Learn more



Published: 20 February 2019

400 Pages


ISBN: 9780198826378

Also Available As:


Bookseller Code (AU)

A new practitioner law publication

The Law of Financial Advice, Investment Management, and Trading

Lodewijk van Setten

  • Focuses on the protection in law provided to the investor during the investment cycle including conduct of business, default risk, and client asset protections
  • Provides authoritative insight and guidance on the duties and liabilities of financial advisors and fund managers such as duties of skill, fairness, disclosure, and compensation
  • Analyses both the market infrastructure and intermediary aspects of investment and trading incorporating best execution aspects, and trading venue structures
  • Considers the settlement and default risks in cross-border investment, trading and settlement services covering the risks mitigation purpose of CCP and CSD structures, settlement finality protections provided to clearing, and settlement systems
  • Written by a former Chief Operating Officer and Managing Director of Morgan Stanley

Also of Interest

Related Categories

Law > Financial Law