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Handbook of investment administration

Author: Kevin Rothwell; Securities & Investment Institute.
Publisher: Chichester, England ; Hoboken, NJ : John Wiley & Sons, ©2007.
Edition/Format:   Print book : EnglishView all editions and formats
Summary:
"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  Read more...
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Genre/Form: Handbooks and manuals
Ratgeber
Handbooks, manuals, etc
Material Type: Internet resource
Document Type: Book, Internet Resource
All Authors / Contributors: Kevin Rothwell; Securities & Investment Institute.
ISBN: 9780470033623 0470033622
OCLC Number: 123797936
Notes: "Securities & Investment Institute"--Preliminary page.
Description: xvii, 501 pages : illustrations ; 23 cm
Contents: About the authorIntroductionPART I: INTRODUCTORY ELEMENTS1 WEALTH MANAGEMENT1.1 Introduction1.2 Wealth management market1.3 Types of business1.4 Investment services and products1.5 Investment firms1.6 Investment administrationPART II: INVESTMENT ADMINISTRATION2 NEW AND CLOSING BUSINESS2.1 Introduction2.2 New business2.3 Client types2.4 Know your customer2.5 Agreements2.6 Account opening2.7 Money laundering2.8 Validating the assets2.9 Transferring assets2.10 Raising assets2.11 Closing business and transfers2.12 Death of a client3 TRADING3.1 Introduction3.2 Stock market developments3.3 Equity trading3.4 Bond trading3.5 Regulation4 SETTLEMENT4.1 Introduction4.2 Fundamentals of settlement4.3 Settlement process4.4 UK settlement4.5 International settlement5 CORPORATE ACTIONS5.1 Introduction5.2 Corporate actions industry5.3 Types of event5.4 Private client corporate action processing5.5 Corporate events5.6 Income eventsPART III: OTHER CONSIDERATIONS6 CUSTODY6.1 Introduction6.2 Protection of client assets6.3 Segregation of safe custody assets6.4 Use of a custodian6.5 Nominee companies6.6 Global custodians6.7 Selecting a custodian6.8 Custody agreements and SLAs6.9 Reviewing the suitability of custodians7 TAX7.1 Introduction7.2 Income tax7.3 Tax treatment of dividends7.4 Capital gains tax7.5 Residence and domicile7.6 Withholding tax7.7 EU savings directive8 POWERS OF ATTORNEY8.1 Introduction8.2 Background8.3 Parties and terminology8.4 Enduring power of attorney8.5 Receiverships8.6 Mental capacity act 20058.7 Administration9 OUTSOURCING9.1 Introduction9.2 Development of outsourcing9.3 Risks associated with outsourcing9.4 Regulatory principlesPART IV: INVESTMENT ACCOUNTSAND PRODUCTS 30310 INDIVIDUAL SAVINGS ACCOUNTS (ISAS)10.1 Introduction10.2 Development of ISAs and PEPs10.3 Organisation and regulation10.4 Individual savings accounts10.5 Allowable investments10.6 New and closing business10.7 Voids and repairs10.8 Residence10.9 Investor reporting10.10 Reform of the ISA regime11 COLLECTIVE INVESTMENT SCHEMES11.1 Introduction11.2 Regulation of UK funds11.3 Types of UK funds11.4 Fund administration11.5 Pricing11.6 Dealing and settlement11.7 Share register11.8 Dividend and interest distributions11.9 Investor reporting12 TRUSTS12.1 Introduction12.2 Development of trusts12.3 Fundamentals of trusts12.4 Investment administration13 CHARITIES13.1 Introduction13.2 What is a charity?13.3 Legal background to investment by charities13.4 Trustee investment powers and duties13.5 Investment policy13.6 Appointing an investment manager13.7 Common investment funds13.8 Use of nominees and custodians14 SELF-INVESTED PERSONAL PENSIONS14.1 Introduction14.2 Development of SIPPs14.3 What is a SIPP?14.4 Setting up a SIPP14.5 Eligibility and contributions14.6 Permitted investments14.7 Benefits15 DERIVATIVE PRODUCTS15.1 Introduction15.2 Types of derivatives15.3 Uses of derivates15.4 Derivatives markets15.5 Structured products15.6 Covered warrants15.7 Exchange traded commodities15.8 Contracts for differenceGlossaryBibliographyReading MaterialIndex.
Other Titles: Investment administration
Responsibility: Kevin Rothwell.
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Abstract:

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.  Read more...

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