LEADER 05669nam 2200733 a 450 001 9910146099103321 005 20170815095043.0 010 $a1-119-20179-9 010 $a1-282-34288-6 010 $a9786612342882 010 $a0-470-72412-9 035 $a(CKB)1000000000724834 035 $a(EBL)470715 035 $a(OCoLC)648761479 035 $a(SSID)ssj0000298193 035 $a(PQKBManifestationID)12051292 035 $a(PQKBTitleCode)TC0000298193 035 $a(PQKBWorkID)10344062 035 $a(PQKB)10841685 035 $a(MiAaPQ)EBC470715 035 $a(CaSebORM)9780470033623 035 $a(EXLCZ)991000000000724834 100 $a20070827d2007 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aHandbook of investment administration$b[electronic resource] /$fKevin Rothwell 205 $a1st edition 210 $aChichester, England ;$aHoboken, NJ $cJohn Wiley & Sons$dc2007 215 $a1 online resource (521 p.) 225 1 $aSecurities Institute 300 $a"Securities & Investment Institute"--P. facing t.p. 311 $a0-470-03362-2 320 $aIncludes bibliographical references (p. [481]-486) and index. 327 $aHandbook 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 327 $a2.11 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 327 $a6.3 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 327 $a9.1 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 327 $a11.4 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 327 $a14.1 Introduction 330 $aInvestment Administration has a key role to play in the many and varied investment products and services that are available in the retail investment marketplace. Kevin Rothwell's Handbook of Investment Administration provides a comprehensive and readable source of both background and practical information for the practitioner. The Handbook takes the main aspects of investment administration and drills down into the detail of these from a retail perspective. It covers areas that are unique to the private client business such as trusts. It explains the background on why processes are unde 410 0$aSecurities Institute 606 $aPortfolio management$vHandbooks, manuals, etc 606 $aInvestment advisors$vHandbooks, manuals, etc 606 $aFinancial planners$vHandbooks, manuals, etc 606 $aSaving and investment$vHandbooks, manuals, etc 608 $aElectronic books. 615 0$aPortfolio management 615 0$aInvestment advisors 615 0$aFinancial planners 615 0$aSaving and investment 676 $a658.15/2 676 $a658.152 700 $aRothwell$b Kevin$0925985 712 02$aSecurities & Investment Institute. 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910146099103321 996 $aHandbook of investment administration$92078996 997 $aUNINA