Record Nr.

UNINA9910146099103321

Autore

Rothwell Kevin

Titolo

Handbook of investment administration [[electronic resource] /] / Kevin Rothwell

Pubbl/distr/stampa


Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2007

ISBN

1-119-20179-9

1-282-34288-6

9786612342882

0-470-72412-9

Edizione

[1st edition]

Descrizione fisica

1 online resource (521 p.)

Collana

Securities Institute

Disciplina

658.15/2

658.152

Soggetti

Portfolio management

Investment advisors

Financial planners

Saving and investment

Electronic books.

Lingua di pubblicazione

Inglese

Formato

Materiale a stampa

Livello bibliografico

Monografia

Note generali

"Securities & Investment Institute"--P. facing t.p.

Nota di bibliografia

Includes bibliographical references (p. [481]-486) and index.

Nota di contenuto

Handbook of Investment Administration; Contents; About the Author; Introduction; Part 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 Transfers2.12 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 Assets6.4 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 Introduction9.2 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 Administration11.5 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

Sommario/riassunto

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 unde

Record Nr.

UNIORUON00336111