An Introduction to the Law on Financial Investment by Iain G. MacNeil

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By Iain G. MacNeil

This booklet presents a wide-ranging assessment of the legislations and regulatory principles appropriate to funding in monetary tools. half 1 introduces the elemental ideas and constitution of the legislation when it comes to monetary funding. It explains the felony nature of monetary tools, the reason for legislation and the heritage and improvement of the approach of rules within the uk. It comprises an research of the most rules and regulatory concepts brought by means of the monetary providers and Markets Act 2000. half 2 examines investments and traders, explaining the felony nature and constitution of the most varieties of monetary funding and studying the criminal ideas and regulatory principles which are proper to institutional funding and personal traders. half three offers with finance and governance. In essence it explains the criminal mechanisms by which traders offer cash to businesses looking funding and the governance thoughts which have been built to permit traders to watch investments and carry corporation administrators responsible for their activities. half four discusses how markets and marketplace members function and are regulated, interpreting the character of monetary markets, their legislation and the criminal principles that advertise "clean" markets.

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16 Intermediaries can resolve this problem at relatively low cost by selecting and monitoring investments on behalf of a group of investors. 2 The legal nature of investment as contract and property The fundamental challenge for the law is to devise rules that will allow investment to occur. In essence this means devising rules that will provide legal rights to potential investors (surplus economic units) that will encourage them to become investors. The purpose of such rules is to determine the rights and obligations of an investor in relation to the entity in which the investment is made, other investors and the outside world.

This type of ownership has been decribed as ‘elastic’23 as it vests in the persons who are for the time being trustees. A joint owner does not have a legally distinct share of joint property that can be transferred to another person. For example, a purported transfer by an individual trustee without the agreement of the others is of no effect. As far as the nature of ownership rights are concerned, a basic distinction can be drawn between real and personal rights. Real rights can be exercised against the whole world, whereas personal rights can be exercised only against specific persons.

Undivided (or pro indiviso) ownership occurs when two or more people hold 19 The meaning of a ‘thing’ in this context is defined by DN MacCormick at para 1097 of the entry ‘General Legal Concepts’ in T Smith and R Black (eds) The Laws of Scotland, Stair Memorial Encyclopedia (Edinburgh, Butterworths, 1990) vol 11: Things are conceived as durable objects existing separately from and independently of persons, subject to being used, possessed, and enjoyed by persons, and thus capable of being transferred from one person to another without loss of identity.

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