投资管理手册Handbook of investment administration
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作者： Kevin Rothwell著
出 版 社：
出版时间： 2007-12-1字数：版次： 1页数： 501印刷时间： 2007/12/01开本： 16开印次： 1纸张： 胶版纸I S B N ： 9780470033623包装： 平装内容简介
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.
作者简介
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, settlement and custody. He has held senior posts in both front office and back office positions with and has undertaken a varied portfolio of investment projects.
More recently Kevin has set up his own company that excels in providing specialised and bespoke consultancy and training for a number of large financial institutions both at home and abroad.
Already a Fellow of the Securities and Investment Institute, he was delighted to have been made a Senior Technical Advisor for them. As well as teaching towards the Securities and Investment Institutes post-graduate Diploma in Investment Operations, Kevin is also the author of International Certificate in Financial Advice Workbook which is published by the SII.
目录
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 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 difference
Glossary
Bibliography
Reading Material
Index
