投资管理手册Handbook of investment administration

内容概要

　　Kevin Rothwell has spent his entire working life within the Financial Services Industry and his hands-on experience has given him a detailed knowledge of such areas as private client investment management, investment administration and dealing, settle

书籍目录

About the authorIntroductionPART I: INTRODUCTORY ELEMENTS 　1. WEALTH MANAGEMENT 　　1.1 Introduction 　　1.2 Wealth management market 　　1.3 Types of business 　　1.4 Investment services and products 　　1.5 Investment firms 　　1.6 Investment administration PART II: INVESTMENT ADMINISTRATION 　2. NEW AND CLOSING BUSINESS 　　2.1 Introduction　　2.2 New business 　　2.3 Client types 　　2.4 Know your customer 　　2.5 Agreements 　　2.6 Account opening 　　2.7 Money laundering 　　2.8 Validating the assets 　　2.9 Transferring assets 　　2.10 Raising assets 　　2.11 Closing business and transfers 　　2.12 Death of a client 　3. TRADING 　　3.1 Introduction 　　3.2 Stock market developments 　　3.3 Equity trading 　　3.4 Bond trading 　　3.5 Regulation 　4. SETTLEMENT 　　4.1 Introduction 　　4.2 Fundamentals of settlement 　　4.3 Settlement process 　　4.4 UK settlement　　4.5 International settlement 　5. CORPORATE ACTIONS 　　5.1 Introduction 　　5.2 Corporate actions industry 　　5.3 Types of event 　　5.4 Private client corporate action processing 　　5.5 Corporate events 　　5.6 Income events PART III: OTHER CONSIDERATIONS 　6. CUSTODY 　　6.1 Introduction 　　6.2 Protection of client assets 　　6.3 Segregation of safe custody assets 　　6.4 Use of a custodian 　　6.5 Nominee companies 　　6.6 Global custodians 　　6.7 Selecting a custodian 　　6.8 Custody agreements and SLAs 　　6.9 Reviewing the suitability of custodians 　7. TAX 　　7.1 Introduction 　　7.2 Income tax 　　7.3 Tax treatment of dividends 　　7.4 Capital gains tax 　　7.5 Residence and domicile 　　7.6 Withholding tax 　　7.7 EU savings directive 　8. POWERS OF ATTORNEY 　　8.1 Introduction 　　8.2 Background 　　8.3 Parties and terminology 　　8.4 Enduring power of attorney 　　8.5 Receiverships 　　8.6 Mental capacity act 2005 　　8.7 Administration 　9. OUTSOURCING 　　9.1 Introduction　　9.2 Development of outsourcing 　　9.3 Risks associated with outsourcing 　　9.4 Regulatory principles PART IV: INVESTMENT ACCOUNTS AND PRODUCTS 　10. INDIVIDUAL SAVINGS ACCOUNTS (ISAS) 　　10.1 Introduction 　　10.2 Development of ISAs and PEPs 　　10.3 Organisation and regulation 　　10.4 Individual savings accounts 　　10.5 Allowable investments 　　10.6 New and closing business 　　10.7 Voids and repairs 　　10.8 Residence 　　10.9 Investor reporting 　　10.10 Reform of the ISA regime 　11. COLLECTIVE INVESTMENT SCHEMES 　　11.1 Introduction 　　11.2 Regulation of UK funds 　　11.3 Types of UK funds 　　11.4 Fund administration  　　11.5 Pricing　　11.6 Dealing and settlement 　　11.7 Share register 　　11.8 Dividend and interest distributions 　　11.9 Investor reporting 　12. TRUSTS 　　12.1 Introduction 　　12.2 Development of trusts 　　12.3 Fundamentals of trusts 　　12.4 Investment administration 　13. CHARITIES 　　13.1 Introduction 　　13.2 What is a charity? 　　13.3 Legal background to investment by charities 　　13.4 Trustee investment powers and duties 　　13.5 Investment policy 　　13.6 Appointing an investment manager 　　13.7 Common investment funds 　　13.8 Use of nominees and custodians 　14. SELF-INVESTED PERSONAL PENSIONS 　　14.1 Introduction 　　14.2 Development of SIPPs 　　14.3 What is a SIPP? 　　14.4 Setting up a SIPP 　　14.5 Eligibility and contributions 　　14.6 Permitted investments 　　14.7 Benefits 　15. DERIVATIVE PRODUCTS 　　15.1 Introduction 　　15.2 Types of derivatives 　　15.3 Uses of derivates 　　15.4 Derivatives markets 　　15.5 Structured products 　　15.6 Covered warrants 　　15.7 Exchange traded commodities 　　15.8 Contracts for differenceGlossary Bibliography Reading Material Index

作者简介

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  Investment Administration has a key role to play in the many and varied investment products and services that are available in the retail investment marketplace. Kevin Rothwell’s Handbook of Investment Administration provides a comprehensive and readable source of both background and practical information for the practitioner. The Handbook takes the main aspects of investment administration and drills down into the detail of these from a retail perspective. It covers areas that are unique to the private client business such as trusts. It explains the background on why processes are undertaken providing as essential reference aid for the practitioner.           Key features include:             A full range of Investment Administration functions from New Business to Settlement through to Corporate Actions.       Specialist areas such as Trusts and Charities are covered in depth.       Concise introduction to each subject providing interesting background information, followed by a detailed review.       Essential reading for candidates undertaking Securities & Investment Institute IAQ exams examinations.

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