Capital markets, derivatives and the law evolution after crisis
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| Format: | Buch |
| Sprache: | English |
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Oxford [u.a.]
Oxford Univ. Press
2014
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| Ausgabe: | 2. ed. |
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| 245 | 1 | 0 | |a Capital markets, derivatives and the law |b evolution after crisis |c Alan N. Rechtschaffen ... |
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| 650 | 4 | |a Recht | |
| 650 | 4 | |a Financial instruments |z United States | |
| 650 | 4 | |a Derivative securities |x Law and legislation |z United States | |
| 650 | 4 | |a Capital market |x Law and legislation |z United States | |
| 650 | 4 | |a Securities industry |x Law and legislation |z United States | |
| 650 | 4 | |a Global Financial Crisis, 2008-2009 | |
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Datensatz im Suchindex
| _version_ | 1819678813199532032 |
|---|---|
| adam_text | CONTENTS
FOREWORD XVII
PREFACE XXIII
ACKNOWLEDGMENTS XXIX
INTRODUCTION XXXIII
CHAPTER
1 THE FINANCIAL CRISIS: SOWING THE SEEDS OF
NEW REGULATION 1
I. ORIGINS 3
II. SUBPRIME LENDING 4
III. GOVERNMENT-SPONSORED ENTITIES 5
IV. THE LIQUIDITY CRISIS AND THE FED S INITIAL REACTION 11
V. PROVIDING LIQUIDITY AND STABILIZING THE FINANCIAL
MARKETS 16
VI. REGULATORY REACTION AT THE HEIGHT OF THE CRISIS 18
A. THE EMERGENCY ECONOMIC STABILIZATION ACT 18
B. AMERICAN RECOVERY AND REINVESTMENT ACT 20
VII. LONG-TERM PLANS FOR CHANGE: DODD-FRANK ACT 23
VIII. DODD-FRANK AND THE REGULATION OF DEPOSITORY INSTITUTIONS
CAPITAL REQUIREMENTS 25
IX. THE VOLCKER RULE AND TOO BIG TO FAIL 26
A. BANK HOLDING COMPANIES AND SYSTEMICALLY SIGNIFICANT
NONBANKS 30
B. LIVING WILLS, CREDIT EXPOSURE REPORTS, AND CONCENTRATION
LIMITS 33
C. OTHER PRUDENTIAL STANDARDS 35
X. THE EUROPEAN DEBT CRISIS 36
XI. POLITICAL CONFLICTS AND THE U.S. DEBT 38
CHAPTER
2 FINANCIAL INSTRUMENTS AND THE CAPITAL
MARKETS 45
I. THE CAPITAL MARKETS 45
A. PRIMARY VERSUS SECONDARY MARKETS 47
B. LONG-TERM VERSUS SHORT-TERM MARKETPLACES 48
C. CASE STUDY: THE AUCTION RATE SECURITIES (ARS)
MARKET 48
II. FINANCIAL INSTRUMENTS 49
A. TYPES OF FINANCIAL INSTRUMENTS 49
1. EQUITY-BASED FINANCIAL INSTRUMENTS 49
2. DEBT-BASED FINANCIAL INSTRUMENTS 50
3. DERIVATIVES 51
B. DISTINCTION BETWEEN DEBT AND EQUITY 52
C. FEDERAL REGULATION 55
III. THE EVOLVING ROLE OF THE ATTORNEY 58
A. COMPETENT REPRESENTATION 58
B. DUTY TO ADVISE CLIENT 59
C. DRAFTING FINANCIAL INSTRUMENTS 59
D. REGULATORY COMPLIANCE 60
E. OPINION LETTERS 60
CHAPTER
3 USING FINANCIAL INSTRUMENTS 63
I. GOAL-ORIENTED INVESTING 63
A. USING FINANCIAL INSTRUMENTS TO HEDGE RISK 65
B. USING FINANCIAL INSTRUMENTS TO ENHANCE YIELD 65
C. THE ECONOMY S IMPACT ON FINANCIAL INSTRUMENTS 66
II. ACHIEVING INVESTMENT GOALS 67
A. THE INVESTOR S PERSPECTIVE 67
B. FINANCIAL INSTRUMENT OBJECTIVES 69
III. MANAGING RISK 71
CHAPTER
4 UNDERSTANDING INTEREST RATES AND THE
ECONOMY 73
I. BACKGROUND 73
A. THE FEDERAL RESERVE 74
B. THE FEDERAL RESERVE BANKING SYSTEM 75
1. COMPOSITION 75
2. PURPOSE 76
3. RESPONSIBILITIES 77
II. ECONOMIC INDICATORS AND INTEREST RATES 77
A. KEY ECONOMIC STATISTICS 78
B. MONETARY POLICY OBJECTIVES 82
C. INFLATION TARGETING 85
VIII I CONTENTS
III. MONETARY POLICY: THE FINANCIAL CRISIS AND BEYOND 87
IV. QUANTITATIVE EASING 88
V. FOMC MINUTES 95
CHAPTER
5 ASSET VALUATION 99
I. THE USE OF INTEREST RATES IN ASSET VALUATION 99
II. INTEREST RATE YIELD CURVE 100
A. TYPES OF YIELD CURVES 101
B. WHY THE YIELD CURVE MAY BE FLAT OR INVERTED 103
1. INCREASE IN MARKET DEMAND FOR LONG-TERM
SECURITIES 103
2. LONG-TERM YIELD AFFECTED BY FEDERAL RESERVE
MONETARY POLICY 104
CHAPTER
6 UNITED STATES TREASURY SECURITIES 107
I. PURPOSE AND GOALS 108
A. RISK-FREE NATURE 109
B. PRIMARY DEALERS 110
II. DESCRIPTION OF U.S. TREASURY SECURITIES 111
A. TYPES OF TREASURY SECURITIES 111
1. TREASURY BILLS 111
2. TREASURY NOTES AND BONDS 112
B. PRICING 112
1. DISCOUNTS AND PREMIUMS 113
2. FACTORS AFFECTING YIELD 113
III. BOND AUCTIONS AND THEIR EFFECT ON PRICE 115
A. INTERRUPTION OF SUPPLY: SEC V. DAVIS ET AL. 115
B. MANIPULATION OF THE AUCTION PROCESS: UNITED STATES V.
SALOMON BROTHERS 116
IV. INTEREST RATES 118
A. FIXED-VERSUS FLOATING-RATE SECURITIES 118
B. TREASURY INFLATION-PROTECTED SECURITIES (TIPS) 119
V. STRIPS 120
A. DESCRIPTION 120
B. VALUATION 121
C. USES 122
D. ABUSES: IN THE MATTER OF ORLANDO JOSEPH JETT 123
CHAPTER
7 DEBT SECURITIES 127
I. DESCRIPTION 128
A. FEATURES OF BONDS 128
B. TYPES OF BONDS 129
C. THE INDENTURE 130
CONTENTS IX
II. BOND-RATING AGENCIES 130
A. INDEPENDENCE AND CONFLICTS OF INTEREST 132
B. REGULATION OF BOND-RATING AGENCIES 134
III. SPECIAL TYPES OF DEBT INSTRUMENTS 134
A. REPOS 134
1. DESCRIPTION 134
2. ORANGE COUNTY CASE STUDY 135
B. MORTGAGE-BACKED SECURITIES 137
1. MORTGAGED-BACKED BONDS 138
2. PASS-THROUGH SECURITIES 139
3. COLLATERALIZED MORTGAGE OBLIGATIONS AND REAL ESTATE
MORTGAGE INVESTMENT CONDUITS 139
4. STRIPPED MORTGAGE-BACKED SECURITIES
(SMBS) 140
5. SUBPRIME MORTGAGE CRISIS 140
IV. SECURITIES ACT REGISTRATION 141
A. GOVERNMENT SECURITIES 142
B. GOVERNMENT AGENCY SECURITIES 142
C. MUNICIPAL SECURITIES 142
1. SEC DISCLOSURE REQUIREMENTS 143
2. MSRB DISCLOSURE REQUIREMENTS 143
D. CORPORATE DEBT SECURITIES 143
1. SECURITIES ACT REQUIREMENTS 143
2. TRUST INDENTURE ACT REQUIREMENTS 144
E. PRIVATE PLACEMENTS OF DEBT SECURITIES 144
CHAPTER
8 DERIVATIVES 147
I. INTRODUCTION 148
A. DESCRIPTION 148
B. COUNTERPARTY CREDIT RISK 148
C. OVER-THE-COUNTER VERSUS EXCHANGE-TRADED
DERIVATIVES 151
II. SHIFTING RISK 153
A. THE CONCEPT OF LEVERAGE 153
B. BASIS RISK 154
C. MARKET RISK 154
D. EFFECTIVE TOOLS OF RISK MANAGEMENT 155
III. TYPES OF DERIVATIVES 155
A. FORWARDS 155
B. FUTURES 157
1. REDUCTION OF COUNTERPARTY RISK 157
2. SUITABILITY AS HEDGING INSTRUMENTS 158
C. DISTINCTION BETWEEN FORWARDS AND FUTURES 158
D. FOREIGN EXCHANGE FORWARDS AND FUTURES 159
E. OPTIONS 160
X | CONTENTS
F. SWAPS 162
1. CHARACTERISTICS OF SWAPS 163
2. THE ISDA MASTER AGREEMENT 163
G. CREDIT DERIVATIVES 164
CHAPTER
9 TYPES OF SWAPS 167
I. PLAIN VANILLA INTEREST RATE SWAPS 168
II. CURRENCY SWAPS 170
III. CREDIT-DEFAULT SWAPS 172
A. PURPOSE AND FUNCTION 172
B. ISDA MASTER AGREEMENT 173
C. IMPORTANCE OF CLEARLY DEFINED TERMS 174
1. CREDIT EVENT 174
2. REFERENCE ENTITY 177
D. OTC DERIVATIVES AND THE FINANCIAL CRISIS 182
IV. THE MOVE TOWARD REGULATORY REFORM 187
A. THE CENTRAL CLEARING MODEL 188
B. THE OTC MODEL 189
C. CONFIDENCE IN THE NEW REGULATORY REGIME: THE CASE OF
MF GLOBAL 190
CHAPTER
10 OPTIONS 197
I. CHARACTERISTICS OF OPTIONS 198
II. HOW OPTIONS WORK 199
A. CALLS AND PUTS 199
1. CALL OPTION 200
2. PUT OPTION 201
CASE STUDY: LEVY V. BESSEMER TRUST 201
III. THE BLACK-SCHOLES MODEL AND OPTION PRICING 204
A. ASSUMPTIONS 204
B. REQUIRED DATA 205
C. VOLATILITY 205
1. TYPES OF VOLATILITY 205
2. MEASURES OF VOLATILITY 206
D. AUTHORITY OF BLACK-SCHOLES MODEL 207
IV. DELTA HEDGING 208
A. CONTRACTS THAT ARE ECONOMICALLY OPTIONS 210
B. OTC VERSUS EXCHANGE-TRADED OPTIONS 212
C. REGULATION OF OPTIONS 212
V. OPTION STRATEGIES 214
A. SYNTHETIC CALL 214
B. COVERED CALL 214
C. COLLAR 214
CONTENTS |
CHAPTER
11 REGULATION OF SWAPS 217
I. THE DODD-FRANK REGULATORY REGIME 218
A. DODD-FRANK AND DERIVATIVES TRADING 218
B. JURISDICTION AND REGISTRATION 219
C. CLEARING REQUIREMENTS, EXCHANGE REQUIREMENTS, AND THE
END-USER EXEMPTION 221
D. CAPITAL AND MARGIN REQUIREMENTS 224
E. REPORTING REQUIREMENTS 225
F. FUTURES COMMISSION MERCHANTS, DODD-FRANK, AND
REGULATION 1.25 225
G. ANALYSIS OF THE PROVISIONS OF DODD-FRANK REGARDING
DERIVATIVES TRADING 227
1. INCREASED TRANSPARENCY 227
2. REDUCTION IN COUNTERPARTY AND SYSTEMIC RISK 230
A. COUNTERPARTY RISK 230
B. SYSTEMIC RISK 232
H. RATIONALE BEHIND THE EXEMPTIONS AND EXCLUSIONS 234
1. THE END-USER EXEMPTION 234
2. PHYSICAL SETTLEMENT EXCLUSION 235
3. CUSTOMIZATION EXCEPTIONS 236
I. THE LINCOLN RULE 236
J. FUTURES COMMISSION MERCHANTS 237
K. CRITICISMS OF DODD-FRANK S DERIVATIVES TRADING
PROVISIONS 239
1. CONCENTRATION OF SYSTEMIC RISK IN CLEARINGHOUSE AND
TOO BIG TO FAIL 239
2. EXCEPTIONS SWALLOWING THE RULE: INCENTIVIZING OF
CUSTOMIZATION AND DE MINIMIS EXCEPTIONS 240
CHAPTER
12 SECURITIES REGULATION 243
I. REGULATORY OVERVIEW 244
A. THE SECURITIES AND EXCHANGE COMMISSION 246
1. JURISDICTION 246
B. WHAT CONSTITUTES A SECURITY 247
1. STOCKS 248
2. NOTES 250
3. INVESTMENT CONTRACTS*THE HOWEY TEST 256
A. CONTROL AND SPLITTING THE TRANSACTION 261
B. PREPURCHASE EFFORTS 263
C. STATE REGULATION AND THE HAWAII MARKET TEST 265
C. SELLERS REPRESENTATIONS 267
D. CONSEQUENCES OF SECURITIES VIOLATIONS 268
1. PRELIMINARY INJUNCTION 269
2. DISGORGEMENT 270
3. PERMANENT INJUNCTION 270
CONTENTS
4. ANTIFRAUD STATUTES 271
5. ATTORNEY S POTENTIAL LIABILITY 271
E. HEDGE FUNDS 272
1. POST-CRISIS HEDGE FUND REGULATION 276
2. OTHER REGULATIONS 277
II. DERIVATIVES REGULATION: THE SEC AFTER DODD-FRANK 278
APPENDIX A: SEC: DODD-FRANK INITIATIVES 280
APPENDIX B: CHECKLIST FOR STOCKS, NOTES, AND INVESTMENT
CONTRACTS 298
CHAPTER
13 SUITABILITY 299
I. THE SUITABILITY DOCTRINE 299
A. BASIS OF THE SUITABILITY DOCTRINE 301
B. SPECIAL CIRCUMSTANCES 303
C. FINRA AND SELF-REGULATED ORGANIZATIONS (SROS) 304
D. NYSE KNOW-YOUR-CUSTOMER RULE 305
E. THE ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES
LAWS*A BASIS FOR A SECTION 10B CAUSE OF ACTION 306
II. FUTURES AND OPTIONS: SUITABILITY 309
A. COMMODITY FUTURES TRADING COMMISSION DISCLOSURE
RULES 309
B. NATIONAL FUTURES ASSOCIATION 310
C. CEA ANTIFRAUD PROVISION 310
D. MUNICIPAL SECURITIES RULEMAKING BOARD 311
APPENDIX A: VARIOUS SUITABILITY RULES 311
CHAPTER
14 THE HISTORY OF THE CFTC 317
I. ROLE OF THE CFTC 319
II. STRUCTURE 319
III. DISCIPLINARY ACTION 320
IV. REGULATORY BACKGROUND 321
A. COMMODITY EXCHANGE ACT (CEA) OF 1936 321
B. COMMODITY FUTURES MODERNIZATION ACT (CFMA)
OF 2000 322
C. JURISDICTIONAL DISPUTES 323
D. THE COMMODITY FUTURES MODERNIZATION ACT 323
E. EXCLUSIONS 324
F. FORWARDS 325
G. OPTIONS 326
H. FUTURES 326
I. REGULATORY DISTINCTIONS BETWEEN FORWARDS AND
FUTURES 328
J. SWAPS 332
CONTENTS XLLL
K. HYBRID INSTRUMENTS 334
L. FOREIGN EXCHANGE PRODUCTS 334
1. THE TREASURY AMENDMENT 335
2. CTFC REAUTHORIZATION 336
APPENDIX A: ENFORCEMENT CASE STUDY: CFTC V. AMARANTH
ADVISORS, LLC 338
APPENDIX B: CASE STUDY: CFTC V. ZELENER 341
APPENDIX C: STRUCTURE OF CFTC 343
CHAPTER
15 FIDUCIARY OBLIGATION TO MANAGE RISK 345
I. CONTROLLING RISK 346
A. DUTY TO MANAGE RISK 346
1. RISK MANAGEMENT FOR FINANCIAL AND NON-FINANCIAL
INSTITUTIONS 348
B. FINANCIAL RISK 350
C. QUANTIFYING FINANCIAL RISK 351
1. VALUE AT RISK 351
2. VOLATILITY RISK 351
3. STRESS TESTING 351
D. PORTFOLIO DYNAMICS 353
II. OPERATIONAL RISK MANAGEMENT 353
A. DIRECTORS AND OFFICERS UNDERSTANDING OF FINANCIAL
INSTRUMENTS 354
B. RISK POLICY 355
C. REPORTING LINES AND AUDIT TECHNIQUES 356
D. EMPOWERING BOARD MEMBERS 357
E. REPORTING STRUCTURES 358
F. INFORMATION FLOW 359
1. DAILY EXCEPTION REPORT 360
2. RED RAGS 360
G. ETHICAL CONCERNS 361
1. COMPENSATION 361
2. CODE OF CONDUCT 362
3. FREE FLOW OF INFORMATION 362
H. FLEXIBILITY 363
III. EXECUTIVE PROTECTION 363
A. RESPONSIBILITY FOR RISK MANAGEMENT 363
B. BUSINESS JUDGMENT RULE 364
C. EDUCATION AT FINANCIAL INSTITUTIONS 364
D. DISCLOSURE UNDER SARBANES-OXLEY ACT 365
1. DISCLOSURES IN MANAGEMENT S DISCUSSION
AND ANALYSIS (MD&A) 365
2. OFF-BALANCE SHEET TRANSACTIONS 366
APPENDIX A: CASE STUDY: JPMORGAN AND THE LONDON
WHALE 367
IV I CONTENTS
CHAPTER
16 LITIGATION ISSUES 371
I. FEDERAL SECURITIES LAWS 372
A. THE RETAIL INVESTOR: BROKER-DEALERS AND
INVESTMENT ADVISERS 372
B. SECURITIES EXCHANGE ACT OF 1934 RULE 10B-5 CLAIM 374
C. SECURITIES ACT OF 1933 376
D. LIABILITY UNDER THE COMMODITY EXCHANGE ACT 378
1. ANTIFRAUD PROVISION 378
2. DISCLOSURE 379
II. COMMON LAW THEORIES 379
A. BREACH OF FIDUCIARY DUTY 383
B. COMMON LAW FRAUD 386
C. SHINGLE THEORY 386
D. TORT THEORY 387
E. CONTRACT THEORY 387
III. STATE BLUE SKY LAWS 388
SWAPS CASE STUDY 388
CHAPTER
17 SYNTHESIS AND CONCLUSION 391
I. SYNTHESIS 391
STRUCTURED NOTE CASE STUDY: SECURITIES AND EXCHANGE
COMMISSION V. GOLDMAN, SACHS & CO. & FABRICE
TOURRE 393
II. HISTORICAL EXAMPLE: ERLANGER COTTON BONDS 395
III. RANGE NOTES 398
IV. INTERNAL LEVERAGE AND MARKET RISK 400
V. RISKS INVOLVED 404
A. INTEREST RATE RISK 404
B. LIQUIDITY RISK 404
C. REINVESTMENT RISK 404
D. OCC WARNING 405
APPENDIX 407
INDEX 435
CONTENTS | XV
|
| any_adam_object | 1 |
| author | Rechtschaffen, Alan N. |
| author_GND | (DE-588)1063685869 |
| author_facet | Rechtschaffen, Alan N. |
| author_role | aut |
| author_sort | Rechtschaffen, Alan N. |
| author_variant | a n r an anr |
| building | Verbundindex |
| bvnumber | BV042157486 |
| classification_rvk | PU 5420 |
| ctrlnum | (OCoLC)894766680 (DE-599)BVBBV042157486 |
| discipline | Rechtswissenschaft |
| edition | 2. ed. |
| format | Book |
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| geographic | USA |
| geographic_facet | USA |
| id | DE-604.BV042157486 |
| illustrated | Not Illustrated |
| indexdate | 2024-12-24T04:15:32Z |
| institution | BVB |
| isbn | 9780199971541 0199971544 |
| language | English |
| lccn | 013036594 |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-027597203 |
| oclc_num | 894766680 |
| open_access_boolean | |
| owner | DE-M382 DE-739 |
| owner_facet | DE-M382 DE-739 |
| physical | XXXV, 455 S. |
| publishDate | 2014 |
| publishDateSearch | 2014 |
| publishDateSort | 2014 |
| publisher | Oxford Univ. Press |
| record_format | marc |
| spellingShingle | Rechtschaffen, Alan N. Capital markets, derivatives and the law evolution after crisis Recht Financial instruments United States Derivative securities Law and legislation United States Capital market Law and legislation United States Securities industry Law and legislation United States Global Financial Crisis, 2008-2009 Finanzkrise (DE-588)7635855-0 gnd Regulierung (DE-588)4201190-5 gnd Finanzinstrument (DE-588)4461672-7 gnd Kapitalmarkt (DE-588)4029578-3 gnd |
| subject_GND | (DE-588)7635855-0 (DE-588)4201190-5 (DE-588)4461672-7 (DE-588)4029578-3 |
| title | Capital markets, derivatives and the law evolution after crisis |
| title_auth | Capital markets, derivatives and the law evolution after crisis |
| title_exact_search | Capital markets, derivatives and the law evolution after crisis |
| title_full | Capital markets, derivatives and the law evolution after crisis Alan N. Rechtschaffen ... |
| title_fullStr | Capital markets, derivatives and the law evolution after crisis Alan N. Rechtschaffen ... |
| title_full_unstemmed | Capital markets, derivatives and the law evolution after crisis Alan N. Rechtschaffen ... |
| title_short | Capital markets, derivatives and the law |
| title_sort | capital markets derivatives and the law evolution after crisis |
| title_sub | evolution after crisis |
| topic | Recht Financial instruments United States Derivative securities Law and legislation United States Capital market Law and legislation United States Securities industry Law and legislation United States Global Financial Crisis, 2008-2009 Finanzkrise (DE-588)7635855-0 gnd Regulierung (DE-588)4201190-5 gnd Finanzinstrument (DE-588)4461672-7 gnd Kapitalmarkt (DE-588)4029578-3 gnd |
| topic_facet | Recht Financial instruments United States Derivative securities Law and legislation United States Capital market Law and legislation United States Securities industry Law and legislation United States Global Financial Crisis, 2008-2009 Finanzkrise Regulierung Finanzinstrument Kapitalmarkt USA |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=027597203&sequence=000003&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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