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　　Investment Administration has a key role to play in the many and varied investment products and services that are available in the retail investment marketplace. Kevin Rothwell’s Handbook of Investment Administration provides a comprehensive and readable source of both background and practical information for the practitioner. The Handbook takes the main aspects of investment administration and drills down into the detail of these from a retail perspective. It covers areas that are unique to the private client business such as trusts. It explains the background on why processes are undertaken providing as essential reference aid for the practitioner.

Key features include:

A full range of Investment Administration functions from New Business to Settlement through to Corporate Actions.

Specialist areas such as Trusts and Charities are covered in depth.

Concise introduction to each subject providing interesting background information, followed by a detailed review.

Essential reading for candidates undertaking Securities & Investment Institute IAQ exams examinations.

About the author

Introduction

PART I: INTRODUCTORY ELEMENTS

　1. WEALTH MANAGEMENT

　　1.1 Introduction

　　1.2 Wealth management market

　　1.3 Types of business

　　1.4 Investment services and products

　　1.5 Investment firms

　　1.6 Investment administration

PART II: INVESTMENT ADMINISTRATION

　2. NEW AND CLOSING BUSINESS

　　2.1 Introduction

　　2.2 New business

　　2.3 Client types

　　2.4 Know your customer

　　2.5 Agreements

　　2.6 Account opening

　　2.7 Money laundering

　　2.8 Validating the assets

　　2.9 Transferring assets

　　2.10 Raising assets

　　2.11 Closing business and transfers

　　2.12 Death of a client

　3. TRADING

　　3.1 Introduction

　　3.2 Stock market developments

　　3.3 Equity trading

　　3.4 Bond trading

　　3.5 Regulation

　4. SETTLEMENT

　　4.1 Introduction

　　4.2 Fundamentals of settlement

　　4.3 Settlement process

　　4.4 UK settlement

　　4.5 International settlement

　5. CORPORATE ACTIONS

　　5.1 Introduction

　　5.2 Corporate actions industry

　　5.3 Types of event

　　5.4 Private client corporate action processing

　　5.5 Corporate events

　　5.6 Income events

PART III: OTHER CONSIDERATIONS

　6. CUSTODY

　　6.1 Introduction

　　6.2 Protection of client assets

　　6.3 Segregation of safe custody assets

　　6.4 Use of a custodian

　　6.5 Nominee companies

　　6.6 Global custodians

　　6.7 Selecting a custodian

　　6.8 Custody agreements and SLAs

　　6.9 Reviewing the suitability of custodians

　7. TAX

　　7.1 Introduction

　　7.2 Income tax

　　7.3 Tax treatment of dividends

　　7.4 Capital gains tax

　　7.5 Residence and domicile

　　7.6 Withholding tax

　　7.7 EU savings directive

　8. POWERS OF ATTORNEY

　　8.1 Introduction

　　8.2 Background

　　8.3 Parties and terminology

　　8.4 Enduring power of attorney

　　8.5 Receiverships

　　8.6 Mental capacity act 2005

　　8.7 Administration

　9. OUTSOURCING

　　9.1 Introduction

　　9.2 Development of outsourcing

　　9.3 Risks associated with outsourcing

　　9.4 Regulatory principles

PART IV: INVESTMENT ACCOUNTS AND PRODUCTS

　10. INDIVIDUAL SAVINGS ACCOUNTS (ISAS)

　　10.1 Introduction

　　10.2 Development of ISAs and PEPs

　　10.3 Organisation and regulation

　　10.4 Individual savings accounts

　　10.5 Allowable investments

　　10.6 New and closing business

　　10.7 Voids and repairs

　　10.8 Residence

　　10.9 Investor reporting

　　10.10 Reform of the ISA regime

　11. COLLECTIVE INVESTMENT SCHEMES

　　11.1 Introduction

　　11.2 Regulation of UK funds

　　11.3 Types of UK funds

　　11.4 Fund administration

　　11.5 Pricing

　　11.6 Dealing and settlement

　　11.7 Share register

　　11.8 Dividend and interest distributions

　　11.9 Investor reporting

　12. TRUSTS

　　12.1 Introduction

　　12.2 Development of trusts

　　12.3 Fundamentals of trusts

　　12.4 Investment administration

　13. CHARITIES

　　13.1 Introduction

　　13.2 What is a charity?

　　13.3 Legal background to investment by charities

　　13.4 Trustee investment powers and duties

　　13.5 Investment policy

　　13.6 Appointing an investment manager

　　13.7 Common investment funds

　　13.8 Use of nominees and custodians

　14. SELF-INVESTED PERSONAL PENSIONS

　　14.1 Introduction

　　14.2 Development of SIPPs

　　14.3 What is a SIPP?

　　14.4 Setting up a SIPP

　　14.5 Eligibility and contributions

　　14.6 Permitted investments

　　14.7 Benefits

　15. DERIVATIVE PRODUCTS

　　15.1 Introduction

　　15.2 Types of derivatives

　　15.3 Uses of derivates

　　15.4 Derivatives markets

　　15.5 Structured products

　　15.6 Covered warrants

　　15.7 Exchange traded commodities

　　15.8 Contracts for difference

Glossary

Bibliography

Reading Material

Index

　　Kevin Rothwell has spent his entire working life within the Financial Services Industry and his hands-on experience has given him a detailed knowledge of such areas as private client investment management, investment administration and dealing, settle

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Investment Administration has a key role to play in the many and varied investment products and services that are available in the retail investment marketplace. Kevin Rothwell’s Handbook of Investment Administration provides a comprehensive and readable source of both background and practical information for the practitioner. The Handbook takes the main aspects of investment administration and drills down into the detail of these from a retail perspective. It covers areas that are unique to the private client business such as trusts. It explains the background on why processes are undertaken providing as essential reference aid for the practitioner. Key features include: A full range of Investment Administration functions from New Business to Settlement through to Corporate Actions. Specialist areas such as Trusts and Charities are covered in depth. Concise introduction to each subject providing interesting background information, followed by a detailed review. Essential reading for candidates undertaking Securities & Investment Institute IAQ exams examinations.