Banking and Finance

Practice Area

With market-leading advice for legal professionals working within banking and finance, our range of titles include coverage of international banking transactions, international money laundering law and regulation, market abuse, insider dealing, consumer credit, private funds, acquisition finance and clearing and settlement.

In addition, all our banking and finance law titles are available as part of our Banking and Finance Law online service.

Recently Published and Soon to Publish Titles

Following the introduction of the Senior Managers and Certification Regime, our new title Conduct and Accountability in Financial Services, publishing in November 2019, is an essential resource for all senior individuals in financial services. Designed to help in the discharge of regulatory accountability, it will ensure that all staff understand the regulatory expectations regarding their conduct.

For those involved in international banking transactions, the new second edition of The Law Relating to International Banking focuses on the issues relating to the commercial activities of this sector. With both an analytical and practical approach, it provides an analysis of how to determine the forum and jurisdiction that apply to an international banking transaction.

The leading, authoritative text International Guide to Money Laundering Law and Practice, the new fifth edition includes coverage of the implementation of the Fifth EU Money Laundering Directive and the Criminal Finances Bill. Penned by local experts and edited by a team from Baker McKenzie’s Financial Services Group, this is essential reading for all banking and finance practitioners.

All of our banking and finance law titles are written by key authors in the field, providing both depth and breadth to your practice needs. Be sure to browse our most recent and soon to publish titles listed below…

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Banking and Finance Books

Houseman’s Law of Life Assurance

Unique in its depth of coverage and currency, Houseman’s Law of Life Assurance has established a well-deserved reputation as an authoritative practitioner work on life assurance and is renowned for its practical insight into the workings of the industry. In addition to being fully updated to take account of new legislation and case law the new 15th edition also covers developments including: Significant structural changes to the UK regulatory framework... Read more

The Law Relating to International Banking

The Law Relating to International Banking (Second Edition) addresses the key legal issues associated with international banking and capital markets. Covering choice of law, jurisdiction, sovereign risk, contractual remedies, exchange controls and legal opinions, this new edition provides a detailed analysis of the legal issues relating to the lending of money, whether by way of: – Term loans – Syndicated lending – The transferring of a bank’s interest in a... Read more

Managing Risk in Financial Firms

Now more than ever there is a need for lawyers to understand the concepts of risk management and to have a wider grasp of the risk-related issues facing a firm. Managing Risk in Financial Firms, 2nd edition provides a detailed analysis of the types of risk that financial institutions may face and also offers authoritative and comprehensive advice on putting in place measures to minimise exposure to risk. No maths... Read more

Market Abuse and Insider Dealing

Market Abuse and Insider Dealing, 3rd edition provides a comprehensive exposition of the law of insider dealing and market abuse, including analysis of the interplay between UK Criminal law and Administrative law regulation of abusive behaviour in the UK financial markets. The title covers areas including: Insider dealing – the civil law; The main offences for insider dealing; Market abuse – regulatory discipline and the civil law; Fraud offences as... Read more

Market Abuse and Insider Dealing

Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness. With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be... Read more

Market Abuse Enforcement: Practice and Procedure

This new title is concerned with the interplay between the Financial Services Authority’s (‘FSA’) statutory powers to impose administrative law sanctions on persons that have engaged in abuse in the financial markets and the statutory system of Tribunal accountability provided by the Financial Services and Markets Act 2000 (‘the Act’). It provides a thorough analysis and assessment of both the law of market abuse and the operation of the Financial... Read more

Markets in Financial Instruments Directive

Written by leading legal and industry practitioners and regulators from across the EU this title offers detailed information about the application and enforcement of MiFID’s rules. This Special Report provides comprehensive, authoritative, and practical analysis and guidance of the EU regime for the regulation of financial services, following the implementation in the Member States of the Markets in Financial Instruments Directive 2004 (MiFID) and its implementing measures (the MiFID regime). Read more

Acquisition Finance

One of the main issues for a buyer making an acquisition is how to finance it. Acquisition Finance, 2nd edition considers the commercial factors that influence the choice of finance and analyses the most common forms of debt and equity finance. Offering in depth expert advice it provides a full picture for each scenario of the transaction structure and process from the initial commercial stages, to the structuring aspects, due... Read more

Money Laundering Compliance

Money Laundering Compliance, 3rd edition provides a technical and practical overview of both the UK and international provisions designed to prevent the laundering of the proceeds of serious crime, and the financing of terrorism. Money laundering has continued to grow over recent years approaching £80 billion in the UK alone, and USD 3 trillion per year globally. Money Laundering Compliance, 3rd edition provides a technical and practical overview of both... Read more

Neate and Godfrey: Bank Confidentiality

Neate and Godfrey: Bank Confidentiality deals with the topical subject of the duties or obligations of confidentiality or secrecy which banks owe to their customers in 37 countries around the world. The ways in which banks may be obliged to disclose information in court proceedings or to assist the authorities in combating money laundering or the funding of terrorism and wider international anti-money laundering initiatives are also considered. Since the... Read more

Banking and Capital Markets Companion

Banking and Capital Markets Companion, 6th edition provides a clear and concise examination of the law, practice and procedure of fund raising in the banking and capital markets. It covers loans, debt securities, derivatives and security for debt using graphics, flowcharts, bullets and summaries to present the subject in an analytical format that is easy to read and recall. It is based on industry standard materials of the Loan Market... Read more

The Banker’s Remedy of Set-Off

Divided into five Parts that discuss in great detail the relevance, concept, nature, scope and application of set-off, The Banker’s Remedy of Set-Off traces the development of the concept from its varying origins in statute, equity and contract. It argues that the concept is rooted in notions of justice and fairness and that in its modern form set-off provides an effective and highly useful mechanism for reducing risk in common... Read more

Clearing and Settlement

Clearing and Settlement (originally titled: Clearing and Settlement in Europe), Second Edition comprehensively explains, both in theory and practice, the complexities of the law and regulation surrounding the processes of clearing and settlement. Clearing and Settlement: 1. Describes what happens in clearing and settlement, and the roles of (and risks assumed by) the various participants in the post-trade marketplace. 2. Explores the law applicable to infrastructures, how they are regulated,... Read more

Consumer Credit Law and Practice – A Guide

“A new edition of Dennis Rosenthal’s Consumer Credit Law and Practice – A Guide is always an event to be welcomed by the busy practitioner… In all this welter of regulation, there is a great need for a work which reduces the mass of case law and regulation covered in encyclopaedic works into a clear, concise and readable form which steers a way through the labyrinth. This is just such... Read more

Financial Services Regulation and Risk-based Compliance

Previously called Financial Services Authority Regulation and Risk-based Compliance, the third edition of Financial Services Regulation and Risk-based Compliance provides an analysis of the source and operation of risk-based compliance regulation in the UK Financial Services industry. With financial services regulation in the UK having undergone significant restructuring since the second edition with the introduction of the FCA and PRA to replace the FSA, this new edition has been extensively... Read more

International Guide to Money Laundering Law and Practice

Starting with an overview of the development of money laundering and the work of international organisations, International Guide to Money Laundering Law and Practice is a unique publication providing a detailed insight into the background of money laundering operations, clearly explaining the anti-money laundering laws and regulations in 35 key global financial centres throughout the world. In addition, there are four chapters considering money laundering law and practice in the... Read more

Private Funds: Where and How?

How do you choose between domicile and jurisdiction when structuring a fund? Dechert LLP, a global law firm with a market leading financial services and investment management practice, share their expertise. A jurisdictional guide to setting up and managing hedge funds in 16 of the leading private fund domiciles. Chapters follow an identical template making it very easy to compare associated mandatory requirements, laws and regulations across jurisdictions Features a... Read more

The Banker’s Remedy of Set-Off

“What is so striking about the book is the intellectual rigour with which the author addresses the very difficult theoretical problems underlying set-off” Professor Roy Goode (from Foreword to the first edition) The Banker’s Remedy of Set-Off traces the development of set-off from its varying origins in statute, equity and contract and explains how it works in practice, giving examples of set-off in different contexts. This well-respected text covers all... Read more

Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions

The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds... Read more

Conduct and Accountability in Financial Services

Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attention and resources focused on the behaviour of firms and senior individuals and how they conduct their business. Regulatory reforms have been designed and implemented globally to address accountability and... Read more

A Guide to Conducting Internal Investigations

Internal investigations can be undertaken by a company or firm as a precursor to anticipated regulatory action, or for many other reasons. This title explains what a good regulatory investigation looks like whilst guiding investigators through the myriad of issues that can arise. It also dismantles many of the preconceptions and myths which have grown up around investigations in the post-financial crisis environment. Investigations are part of the ‘business as... Read more

The Law and Regulation of International Finance

This student edition of Ravi Tennekoon’s highly acclaimed text provides straightforward and accessible reference work for LLM graduate students and those studying international and corporate finance. An undisputed authoritative text on the law governing money market activity, this book covers in depth the legal aspects of the principal financial and loan instruments of international finance – in particular syndicated loans and eurobonds, along with the euro commercial paper market. Analysis... Read more

The Law of Global Custody

The Law of Global Custody provides both an introduction to, and a detailed analysis of, the law relating to global custody for all those wishing to review and manage legal risk in the field of global custody and related areas such as escrow services, cross border securities collateral and the post trade infrastructure. With this excellent book you will gain a better understanding of the implications of acting as, or... Read more

Documentary Credits

An extremely straight forward and no nonsense approach to Documentary Credits – This Book should be on every L/C professional’s shelves. Amazon Customer Review of previous edition This practical work offers a lucid and comprehensive account of the workings of documentary credits in the context of English law and under international banking practice as applied in England. Written from the perspective of banking practices as well as the law, the... Read more

Financial Services Authority Regulation and Risk-Based Compliance

Previously entitled “Risk-Based Compliance” this unique guide to the role of risk-based FSA regulation compliance in the financial services industry has been fully updated and comprehensively re-written. Focusing on the latest due diligence mechanisms, the guidance and information provided ensures financial services organisations can accurately and confidently comply with their legal responsibilities. This advice and information includes: operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services... Read more

Financial Services Law Guide

Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. The current changes in the regulatory structure are far reaching for the financial services sector and the new... Read more

Financial Services: Investigations and Enforcement

Financial Services: Investigations and Enforcement is a comprehensive, practical, step-by-step guide to the often complex enforcement aspects of the regulatory regime. Designed to be used before, during and after an investigation, it provides the support and guidance that legal advisers need when navigating an investigation or disciplinary enquiry. Split in to five sections (Introduction to the Regulatory Regime; Investigations; Enforcement; Mis-selling, Consumer Redress and Intervention Powers; and Specific Topics) the... Read more