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Banking Regulation: A Global Guide From Practical Law, 3rd Edition

Banking Regulation: A Global Guide From Practical Law, 3rd Edition

作者： Rene Bosch
出版商： Sweet & Maxwell U.K.
ISBN: 9780414061873
出版时间 June 2017
规格： Hardback
适应领域： International ? 免责申明：
Countri(es) stated herein are used as reference only

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Banking Regulation is the essential reference guide for clients, banking experts, legal professionals, compliance officers, and financial services consultants on all aspects of banking regulation. Covering 28 jurisdictions around the globe, the book is written by leading local professionals who are experts in the field.

The book provides invaluable and up-to-date information on the bank regulatory framework in each jurisdiction, including key legislation, regulators, licensing, governance, risk management, liquidity and capital adequacy rules, bank ownership rules, resolution regimes and regulatory trends.

Banking Regulation adopts a structured question-and-answer approach to the material, allowing quick and easy cross-referencing between jurisdictions.
1. Regulatory Framework – Overview
2. Authorities, Regulators
2.1. Supervisory Architecture – Nature, Characteristics
2.2. Lead Bank Regulators
2.3. Other Authorities
2.4. Role of Central Bank

3. Banking License
3.1. Characteristics, Nature
3.2. Regulated Activities, Scope of License
3.3. Licensing Procedure
(parties involved, nature and form of application, duration, cost, licensing decision)

4. Forms of Banks
4.1. State-owned Banks
4.2. Universal Banks | Commercial and Retail Banks
4.3. Investment Banks
4.4. Private Banks
4.5. Other Banks
4.6. Regulation of SIFIs
(Systemically Important Financial Institutions)

5. Organisation of Banks
5.1. Corporate Bodies – Corporate Governance
5.2. Organisation
(Requirements, Corporate Documents, Audit Function etc)
5.3. Auditors and other Experts
5.4. Risk Management
5.5. Supervision of Management
5.6. Compensation
5.7. Special Rules for SIFIs?

6. Liquidity and Capital Adequacy
6.1. Role of International Standards (Basel III, FSB, etc)
6.2. Liquidity Requirements
6.3. Capital Adequacy Framework
6.4. Special Requirements for SIFIs

7. Consolidated Supervision
7.1. Role of Consolidated Supervision
7.2. Requirements
7.3. International Coordination and Cooperation among Regulators

8. Shareholders, Acquisitions of Banks
8.1. Reporting of Significant Shareholdings
8.2. Approval Requirements
8.3. Foreign Investments
8.4. Acquisition of Banks

9. Resolution and Bail-in Regimes
9.1. Liquidation – Legal Framework
9.2. Resolution Regime
9.3. Bail-in Regime
René Bösch is head of the Financial Services Team at Homburger AG. He advises on financial markets law, particularly banking law and financial services regulation, and specializes in offerings of debt and equity-linked securities, regulatory capital instruments (in particular for banks) as well as hybrid financial instruments. Other special services include internal investigations in a regulatory context, corporate finance and corporate law.

René Bösch regularly advises Swiss and international financial institutions on regulatory matters and represents clients before the Swiss regulatory bodies. He has been lead advisor on numerous domestic and international private placements and public offerings of bonds, equity-linked instruments (including mandatory convertible bonds and contingent convertible bonds) and hybrid financial instruments. He is an expert in structuring regulatory capital instruments and in advising Swiss and international financial institutions on such transactions.

Over the years, he has consistently been recommended by leading law directories with respect to these practice areas. René Bösch has published and lectured on banking and financial markets related matters. From 2007 to 2008, he was co-chair of the Securities Law Committee and is currently co-chair of the Capital Markets Forum of the International Bar Association. He is a member of the Chapter Board – Doing Business in the U.S.A. of the Swiss-American Chamber of Commerce. He is also a co-editor of CapLaw, an electronic newsletter for Swiss capital markets law. René Bösch is registered in the Bar Register of the Canton of Zurich and is an Authorized Issuers' Representative at the SIX Swiss Exchange.

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