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Derivatives Regulation and Legal Risk: managing uncertainty in derivatives transactions
Euromoney Trading Ltd, Jan 2004, Pages: 179
An invaluable guide to understanding how financial derivatives are regulated in the UK, US and Australia, Derivatives Regulation and Legal Risk: Managing Uncertainty in Derivatives Transactions provides a detailed account of the rules, principles and regulation that govern derivatives contracts. Recent litigation has shown that legal risk and legal uncertainty continue to be of both operational and practical significance in contracting, transacting and documenting financial derivatives.
This book examines in detail the key market practices and standard documentation that can be used by practitioners to minimise their legal risk. In particular, the book examines the following:
- What are the implications for market participants of the threat of their transaction being characterised as against gaming and bucket shop laws?
- What happens if a transaction is declared void? How do you protect payments and recover compound interest?
- How to enforce your transaction, including choice of jurisdiction and applicable bankruptcy laws
- How to structure a credit derivatives transaction and avoid insurance laws
- How to negotiate uncertain rules and regulation
- How to avoid customer litigation
The book includes practical tips and checklists to avoid legal traps and minimise legal uncertainties, and a glossary of key legal terms.
Essential reading for anyone entering into or arranging derivatives transactions with sovereigns, municipalities and regional authorities, insurance companies, pension funds, or unit trusts, mutual funds and fund managers.
About the author
Dr Tony Ciro is a Lecturer in Law at La Trobe University, Melbourne, Australia. He is a graduate of Oxford University and has recently completed his doctorate at Monash University, which examined the legal risks that confront the markets for financial derivatives in the United Kingdom, the United States and Australia.
Tony has practised in a commercial law firm, and has taught and researched widely in the areas of accounting and finance, commercial law, intellectual property law, and business law. He has also taught in Malaysia as part of the joint venture arrangements between La Trobe University and Nilai College. He has also taken up an appointment as a visiting academic scholar at Hertford College, Oxford University.
Tony has published a number of scholarly papers examining the legal and regulatory issues affecting financial markets, in particular financial derivatives. He is a well-respected legal scholar for his contribution to financial derivatives research. His works have appeared in leading Australian and international refereed journals, including Company and Securities Law Journal, Journal of International Commercial Law, Current Commercial Law, Journal
of Banking, Finance Law and Practice, Australian Business Law Review, Bond Law Review and the Journal of International Financial Markets.
Tony’s other research interests include intellectual property, business law, contract law and e-commerce. He is currently engaged in a number of research projects on intellectual property and e-commerce, and will publish the findings of his empirical research in leading academic journals.
Tony is a member of the Victorian Bar, where he practises as a barrister in the fields of financial derivatives, securities regulation, corporate crime, information technology and intellectual property law.
Tony holds a Bachelor of Economics (Hons) and Bachelor of Laws (Hons) from Monash University, a Bachelor of Civil Law from Oxford University, and a Doctor of Philosophy in law from Monash University.
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