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Published: 4 June 2021
Last updated: 4 February 2022

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1

Pompian, Michael M., ed. Behavioral Finance and Investor Types. Hoboken, NJ, USA: John Wiley & Sons, Inc., 2012. http://dx.doi.org/10.1002/9781119202417.

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2

Behavioral finance and investor types: Managing behavior to make better investment decisions. Hoboken, NJ: Wiley, 2012.

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3

Bowers, Q. David. A guide book of United States type coins: A complete history and price guide for the collector and investor : copper, nickel, silver, gold. Edited by Stack Lawrence R. 2nd ed. Atlanta, GA: Whitman Publishing, 2008.

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4

Whelan, Gerard. An indepth study of the mutual fund industry with particular emphasis in the United States and the implications for the individual investor when considering this type of financial instrument. Dublin: University College Dublin, 1993.

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5

Panischev, Aleksey. Foreign policy of Ancient Rome during the period of the kings and the early Republic. ru: INFRA-M Academic Publishing LLC., 2020. http://dx.doi.org/10.12737/1083292.

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The monograph is devoted to the foreign policy of Ancient Rome during the period of the kings and the early Republic. The paper draws attention to the fact that at these stages of its development, Rome did not create a state in the modern sense, but rather a Federation, and with a developed self-government of its participants. Thanks to a system of mutually beneficial treaties, Rome became a political center among the peoples of Ancient Italy. At the same time, remnants of tribal relations were preserved in Ancient Rome for a long time. Attention is also paid to the development of military Affairs in Rome. It is noted that in Ancient Rome for a long time there were no defensive walls, which predisposed the Romans to an offensive type of warfare. The Romans created battle tactics that would be consistent with the characteristics of the soldiers ' weapons and would allow for rapid military training among recruits, which provided the Romans with high mobilization capabilities. However, classically represent the soldier in the Lorica of segmentata in the tsarist period was not. An important role in the development of Rome as the center of international politics of Ancient Italy, the center of the Federation was played by the high moral standards postulated by the ancient Roman society and invested in the concept of the Republic. All these diplomatic, ethical, and military features of Ancient Rome combined to determine the success of Roman civilization. However, it is worth noting that the disorganization of these principles caused the fall of Rome. For anyone interested in the historical processes of Ancient Italy and Ancient Rome.
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6

Project, Carbon Disclosure, ed. Climate disclosure: Measuring financial risks and opportunities : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session, on examining the types of economic risks and opportunities posed and the connection between climate change and the health of financial markets, risks and opportunities discussed in corporate financial disclosure statements and whether requirements are adequate, and listen to investors and other stakeholders on their request for consistent climate risk disclosure in order to better manage financial risks, Wednesday, October 31, 2007. Washington: U.S. G.P.O., 2010.

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7

Norah, Gallagher, and Shan Wenhua. 8 Settlement Of Investor–State Disputes. Oxford University Press, 2009. http://dx.doi.org/10.1093/law:iic/9780199230259.003.008.

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The dispute-resolution provisions in bilateral investment treaties (BITs) have become the “ultimate” investor protection in modern investment treaties. This chapter reviews the different types of dispute-resolution provisions of the Chinese BITs. It first looks at the choice of arbitrations made in its treaties, ICSID, ad hoc, or other arbitration rules. It then continues to review the two main types of investor-state dispute-resolution clauses in China's BITs: restrictive—where the BIT permits international arbitration of disputes on the amount of compensation for expropriation only; and more liberal or expansive—which allows access to international arbitration for all disputes between the investor and host state. It then considers a topic of particular interest right now for investors and potential investors in China: the application of the MFN clause to dispute resolution. Finally, it looks at the applicable law to dispute settlement and the requirement to exhaust domestic remedies.
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8

Pompian, Michael M. Behavioral Finance and Investor Types: Managing Behavior to Make Better Investment Decisions. Wiley & Sons, Incorporated, John, 2012.

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9

Pompian, Michael M. Behavioral Finance and Investor Types: Managing Behavior to Make Better Investment Decisions. Wiley & Sons, Incorporated, John, 2012.

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10

Pompian, Michael M. Behavioral Finance and Investor Types: Managing Behavior to Make Better Investment Decisions. Wiley & Sons, Incorporated, John, 2012.

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11

U.S. Coins by Design Types: An Action Guide for the Collector and Investor. Bowers & Merena Galleries, Incorporated, 1988.

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12

Eduardo Silva, Romero. Part II Investor-State Arbitration in the Energy Sector, 13 Energy Investor-State Disputes in Latin America. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198805786.003.0013.

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This chapter discusses the recent resurgence of ‘resource nationalism’ in the Latin American region. These include the shift in the political and economic control of the energy sector from foreign, private interests to domestic, state-controlled companies and the disputes this has triggered. After looking at the historical background of investor-state arbitration in Latin America, the chapter analyzes relevant strategies used by investors and states to defend their standpoint on resource nationalism. It also identifies which ones have proved most successful in relation to fiscal measures and nationalizations by certain Latin American states. The chapter also provides an assessment of corporate restructuring strategies used by foreign companies to challenge these types of resource nationalism measures.
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13

Bowers, Q. David. United States Coins by Design Types: An Action Guide for the Collector and Investor/Bbm 307. Bowers & Merena Galleries, 1988.

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14

Jeswald W, Salacuse. 10 Monetary Transfers and Treatment. Oxford University Press, 2015. http://dx.doi.org/10.1093/law/9780198703976.003.0010.

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The ability of a foreign investor to make international monetary payments freely both into and out of a host country is crucial to the success of any foreign investment. Investors need to transfer funds into the host country in order to establish an investment, operate it, expand it, and support it during economic hard times. This chapter discusses special treatment standards relating to monetary transfers. Treaty provisions on monetary transfers often address six basic issues: the general scope of the investor’s rights to make monetary transfers; the types of payments that are covered by such right; the nature of the currency in which payments may be made; the applicable exchange rate; the time within which the host state must allow the investor to make transfers; and exceptions to the right to make monetary transfers.
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15

St John, Taylor. Why is Exit So Hard? Positive Feedback and Institutional Persistence. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780198789918.003.0009.

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Chapter eight analyzes why institutions persist, even when they generate unintended consequences for the states that created them. The chapter sets out a typology of possible actions that governments can take to exit from investor–state arbitration. To date, governments have engaged in remarkably little exit. The second section explores how positive feedback has created a new constituency of law firms and investors with an interest in arbitration and therefore has led to a new politics of ISDS. The third section discusses other types of feedback that have stabilized and developed a dense web of commitments enshrining investor–state arbitration. The fourth section observes that over time, competitive dynamics emerged and define investor–state arbitration today: competition between law firms, arbitration organizations, and even jurisdictions hoping to host arbitrations makes exit and reform more difficult. The barriers to exit may be highest for capacity-constrained states.
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16

Nobes, Christopher. 4. Financial reports of listed companies. Oxford University Press, 2014. http://dx.doi.org/10.1093/actrade/9780199684311.003.0004.

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‘Financial reports of listed companies’ considers the components of an annual report and the types of financial statement that companies generally provide: balance sheet, income statement, statement of changes in equity, and cash flow statement. It addresses the following questions: what are assets and how are they measured? What is the difference between depreciation and impairment? Why are various expected expenses and losses not accounted for as liabilities? How can an investor decide which company to lend to or buy shares in? How could managers use accounting to mislead investors? Tangible assets, intangible assets, and financial assets are defined along with liabilities and accounting ratios.
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17

Kaj, Hobér. Part II Investor-State Arbitration in the Energy Sector, 8 Overview of Energy Charter Treaty Cases. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198805786.003.0008.

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This chapter analyzes rendered awards and pending Energy Charter Treaty (ECT) cases using detailed statistical data on the disputes overall (including the number of cases brought and their outcomes), the parties involved (including the types of investors making use of the ECT, and most frequent respondent states), the underlying investment (including the different energy sectors concerned), and the arbitration rules used. It also discusses a number of issues that often arise in ECT cases. First, the chapter looks at jurisdictional objections regularly raised by respondents, including the provisional application of the ECT under Article 45; the ‘denial of benefits’ clause of Article 17(1); and the definition of an ‘investment’ under Article 1(6). The chapter then analyzes selected merits issues that have been addressed in the ECT awards rendered to date. Finally, this chapter considers the future of the ECT.
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18

Danny, Busch. Part II Investment Firms and Investment Services, 9 Agency and Principal Dealing under MiFID I and MiFID II. Oxford University Press, 2017. http://dx.doi.org/10.1093/law/9780198767671.003.0009.

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This chapter examines whether allowing the extent of the protection afforded to an investor under MiFID to be largely dependent on the distinction between dealing on own account on the one hand and trading on behalf of the client (and other forms of investment service) on the other is justified. The author submits that it is not. The distinction between dealing on own account and trading on behalf of the client is tenuous, arbitrary and easy to manipulate. According to the author, MiFID II provides no practicable criterion either, and resorts to the artifice of reclassifying certain types of dealing on own account as acting on behalf of the client. Finally, both the UK Government and the Dutch Supreme Court take the view that duties of care must also apply where an investment firm acts solely as an investor’s contractual counterparty.
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19

Siems, Mathias M. Taxonomies and Leximetrics. Edited by Jeffrey N. Gordon and Wolf-Georg Ringe. Oxford University Press, 2015. http://dx.doi.org/10.1093/oxfordhb/9780198743682.013.18.

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This chapter focuses on taxonomies that are commonly applied to corporate law and governance. It begins with an overview of the main rationales for and types of such corporate taxonomies before turning to a discussion of four types of typologies: limited typologies dealing with either legal or non-legal questions, and general typologies having either a legal or a non-legal focus. It then outlines challenges to these taxonomies, with particular emphasis on the criticism against the quantitative research on “legal origins” and how “leximetrics” can be used to address the question of whether or not there are distinct legal families in corporate law. It also presents a cluster analysis of investor protection data of the World Bank’s Doing Business Report.
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20

Katia, Yannaca-Small, and Katsikis Dimitrios. Part III Guide to Key Jurisdictional Issues, 11 The Meaning of ‘Investment’ in Investment Treaty Arbitration. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198758082.003.0011.

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Despite the growing number of investor-state arbitrations and resulting jurisprudence, there is still no consensus on the criteria of investment. This chapter first examines the way ‘investment’ is ‘defined’ in bilateral investment treaties and other international investment agreements, as well as the meaning of investment in the International Centre for Settlement of Investment Dispute (ICSID) Convention. It then considers aspects of the arbitral jurisprudence on certain types of assets constituting an investment; the ‘objective’ and ‘subjective’ approach to interpreting definitions of ‘investment’; the characteristics that have been considered to be criteria of an investment; and the requirements that, to be protected, an ‘investment’ must be (i) made in accordance with the host State’s law and (ii) in the territory of the host State.
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21

Birchall, Johnston. The Performance of Member-Owned Businesses Since the Financial Crisis of 2008. Edited by Jonathan Michie, Joseph R. Blasi, and Carlo Borzaga. Oxford University Press, 2017. http://dx.doi.org/10.1093/oxfordhb/9780199684977.013.40.

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This chapter examines the performance of several types of member-owned businesses since the financial crisis. It summarizes evidence for three financial co-operative sectors (European co-operative banks, the worldwide credit union sector, and the UK building societies), finding that they have been less risky, more stable, and on a range of indicators more successful than conventional investor-owned banks. It then examines the performance of retail consumer co-operatives, insurance mutuals, retailer-owned wholesalers, and employee-owned businesses. The wider benefits of having a significant member-owned sector are then considered. The conclusion is that economic resilience cannot be taken for granted: it has to be competed for in each industry sector, and the results will vary depending on the extent to which, in each sector, they can realize the ‘co-operative advantage’.
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22

Henry G, Burnett, and Bret Louis-Alexis. Part II Key Risks and Disputes Associated with International Mining Projects, 5 Political Risk and Resource Nationalism. Oxford University Press, 2017. http://dx.doi.org/10.1093/law/9780198757641.003.0005.

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This chapter first discusses the notions of political risk and resource nationalism. Political risk refers to the risk that some political event will materially affect the projected profitability or the legal framework of a given project or investment. Resource nationalism refers to the tendency of a host government to take action to increase its control of-and value derived from—the development of its national resources, often after a private foreign investor has placed the resource into commercial production. The chapter then covers expropriations and nationalizations of international mining projects; the principal types of measures employed by Host States to increase their participation in, revenues from, and control over mining projects; breach, repudiation, or forced renegotiation of international mining contracts by Host States; and managing political risk for international mining projects.
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23

Douglas W, Arner, Hsu Berry FC, Goo Say H, Johnstone Syren, Lejot Paul, and Tse Maurice Kwong-Sang. Part III Regulation of Financial Products, 8 Financial Derivatives. Oxford University Press, 2016. http://dx.doi.org/10.1093/law/9780198706472.003.0008.

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This chapter examines the financial derivative instruments traded and used in Hong Kong. The chapter describes the current main types of financial derivatives, their uses and risks, and examines Hong Kong’s twofold approach to their regulation. It also raises questions that may not be fully addressed in any major financial jurisdiction; for example, how the law accounts for relatively new, sophisticated contracts, especially in relation to user protection; whether related areas of law such as bankruptcy may conflict with what has become customary derivative market practice; and how credit risk transfer facilitated by derivative instruments may conflict with established precepts of financial regulation. Lastly, it considers whether links between the territory’s regulators and the stock exchange are well-suited to the supervision of certain derivative activity and to investor protection.
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24

Arjaliès, Diane-Laure, Philip Grant, Iain Hardie, Donald MacKenzie, and Ekaterina Svetlova. Fund Managers and Their Investors. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780198802945.003.0003.

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Chapter 3 examines the mechanisms through which clients impact fund managers’ practices and vice versa. The discussion encompasses fixed income investment as well as investment in shares. In both fixed income and shares, clients can include both institutional investors (such as pension funds) and retail investors (i.e. private individuals, though often guided by financial advisers). Their reasons for investment vary, leading to different time-horizons on their decisions, different ways of measuring performance, and different forms of interaction with the rest of the investment chain. They often rely on various types of advisers: investment consultants, independent financial advisers, and fund-rating companies. Variations of those kinds among the clients influence fund managers’ investment decisions, whether intentionally or not. Thus, the chapter suggests that the client–fund manager relationship is not a simple principal–agent problem, but a multi-faceted, contextually dependent, malleable matter.
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25

Koh Swee, Yen. Part II Investor-State Arbitration in the Energy Sector, 14 Energy Investor-State Disputes in Asia. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198805786.003.0014.

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This chapter takes a critical view on some energy-related investor-state disputes in Asia which have ‘left a bitter taste in the Host State's mouth’. Using selected case studies, the chapter concludes that some Asian countries, who once saw agreeing to investor-state arbitration as a means to attract investment, are nowadays more reticent towards this type of dispute resolution. The chapter discusses how to revive investor-state arbitration in Asia. In particular, it considers investor-state arbitration against the backdrop of recent growth in outward Asian investment. It emphasizes the importance of regional and international energy cooperation and initiatives such as the Association of South-East Asian Nations (ASEAN) Comprehensive Investment Agreement.
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26

Jonathan, Bonnitcha, Skovgaard Poulsen Lauge N, and Waibel Michael. 2 Foreign Investment: Economic and Legal Foundations. Oxford University Press, 2017. http://dx.doi.org/10.1093/law/9780198719540.003.0002.

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This chapter examines two foundational questions relating to foreign investment: why firms engage in foreign investment, and how inward foreign investment affects host states. It then examines the scope of the investment treaty regime’s coverage of different types of ‘investors’ and ‘investments’. The chapter makes a simple yet often overlooked point: whereas different types of foreign investment have different drivers and effects, investment treaties cover practically all forms of investment and all types of foreign investors. This has important implications when considering the effects of the investment treaty regime.
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27

Henry G, Burnett, and Bret Louis-Alexis. Arbitration of International Mining Disputes. Oxford University Press, 2017. http://dx.doi.org/10.1093/law/9780198757641.001.0001.

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International mining disputes represent a significant and growing area of disputes over natural resources, yet the unique risks inherent in the mining industry set them apart, both in the nature of the disputes and the approach taken to resolve them. International arbitration has emerged as the mechanism of choice for the resolution of such disputes. This has given rise to a wealth of arbitral decisions from which certain principles specific to the mining sector are developing. This book brings together thorough analysis of arbitral decisions and insightful commentary on both dispute resolution and the business of mining, in order to provide a comprehensive guide to arbitration in the mining sector. Part I introduces the different parties involved in international mining projects; Part II explains the main risks and challenges involved in mining projects and how they result in different types of disputes; Part III provides practical advice for parties and counsel involved in international mining disputes, including in-depth analysis of the confidentiality issues that so often arise in connection with international mining disputes and the conditions and strategies for the settlement of these disputes; and Part IV examines the substantive principles applicable to international commercial and investor-State mining disputes.
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28

Clark, Gordon L., and Ashby H. B. Monk. Institutions and Organizations. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780198793212.003.0002.

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In Chapter 2, the authors set out to explore the status of institutional investors in the global economy. They look at different types of such investors. For instance, these include endowments, family offices, and pension funds on the one hand, while on the other hand they also include the conventional roles and responsibilities of asset owners, asset holders, managers working in banks, and standalone asset companies. In this chapter, they pick up the thread that continues throughout the remainder of the book of the current debate in the social sciences concerning institutions and organizations, as well as the legal status of many institutional investors, which organizations themselves must govern and manage.
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29

Martelli, Duccio. The Psychology of Traders. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190269999.003.0011.

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In recent decades, trading has become very popular among retail investors, mainly owing to widespread use of technology and a reduction in transaction costs. However, the growing information available to individuals and the higher complexity of financial markets have led investors to make psychological mistakes more easily. This chapter describes the main types of behavioral bias that affect individual investors, especially retail traders who frequently churn their portfolios. The chapter compares momentum and contrarian trading strategies used by such traders. It also discusses the impact of new information on market sentiment and its effect on trader psychology. Finally, the chapter examines the main behaviors of novice traders, followed by a summary of various studies that analyze the conduct of novice investors in the course of investment challenges and trading simulations.
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30

Wang, Di. Strangers Are Not All Danger. Edited by Douglas Cumming, Geoffrey Wood, Igor Filatotchev, and Juliane Reinecke. Oxford University Press, 2017. http://dx.doi.org/10.1093/oxfordhb/9780198754800.013.10.

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Sovereign wealth fund (SWF) investment in strategic industries has raiseumerous concerns. While state ownership may motivate SWFs to pursue strategic interests on behalf of the home government, other governments can have different strategic objectives. It suggests that SWFs may behave differently even when investing in strategic industries. This chapter illustrates the heterogeneity of SWF investment in the energy industry and argues that SWFs from energy-poor countries are more likely to invest in the energy industry compared to other types of investors in pursuit of energy security for the home country. Foreign investment in the energy industry is likely to face greater resistance by the host country than investment in other industries. This would increase with the deterioration of bilateral relations, especially for SWFs from energy-poor countries. Empirical analysis of 6,382 foreign acquisitions between 1992 and 2012 support these claims. These results are robust against alternative model specifications and variable measurements.
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31

Jeswald W, Salacuse. 7 Scope of Application of Investment Treaties. Oxford University Press, 2015. http://dx.doi.org/10.1093/law/9780198703976.003.0007.

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This chapter first discusses the significance of a treaty’s scope of application, which has at least two important legal ramifications. First, a contracting state owes obligations under the treaty only to investors and investments that fall within the treaty’s scope of application or treaty definitions. Second, the treaty’s definitions and scope of application affect the jurisdiction of any international arbitral tribunal adjudicating a dispute brought under its provisions. The chapter then goes on to explain the meaning of the terms ‘investments’ and ‘investors’ as covered by investment treaties and gives an overview of the various types of formulation used to define those terms.
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32

Herrmann, Theresa. The Decision Usefulness of Additional Fair Value Disclosures: One Disclosure Type Does Not Fit All Nonprofessional Investors’ Needs. Springer Gabler, 2019.

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33

Devos, Erik, Andrew C. Spieler, and Joseph M. Tenaglia. Portfolio Managers. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190269999.003.0008.

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In the oversight of most funds, the portfolio manager holds the key decision-making power. Often regarded as foundational to the investment process, a few select managers can attract billions of dollars from investors, giving the managers increased prominence, credibility, and compensation. Despite their stature, portfolio managers are not immune to the behavioral biases that other investors exhibit, which can distort the portfolio management process. This chapter offers an overview of portfolio management and compares characteristics of the fund types that portfolio managers oversee. It also reviews several important behavioral biases that portfolio managers display, as well as the consequences that each has on portfolio construction: overconfidence, herd mentality, risk-taking behavior, and disposition effect. The chapter also contrasts the gender differences of portfolio managers and reviews the ramifications for their respective portfolios.
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34

Scharfman, Jason. Hedge Fund Due Diligence. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780190607371.003.0019.

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This chapter provides an overview of hedge fund due diligence challenges facing investors with a specific focus on the operational due diligence process. Operational due diligence is the process of evaluating the operational risks in place at a hedge fund. In recent years, due to a series of hedge fund failures and frauds, operational risks have become increasingly important. Risk mitigation techniques include information technology infrastructure; evaluations by the board of directors; business continuity planning; hedge fund service provider assessment, valuation, and fund operations; and back-office procedures. Another component of the operational due diligence process involves performing background investigations on key personnel. By seeking to evaluate these types of operational risk, investors can better diagnose and avoid losses from these hedge fund operational failures and outright fraud.
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35

Datz, Giselle. Sovereign Debt Default. Oxford University Press, 2017. http://dx.doi.org/10.1093/acrefore/9780190846626.013.299.

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Sovereign borrowing and debt default have long been a part of a nation’s existence. Sovereign debt defaults (that is, the suspension of interest or principal payment on due debt) were common from the sixteenth century, when Edward III declared a default after military defeat in 1340, to the nineteenth century, when Latin American countries defaulted on some of their debts. Early loans were made in the form of repayable taxes until the system evolved to allow for sovereign loans, transparent enough that secondary markets for these debts were soon developed. A government may default on its debt due to unwillingness or inability to pay. In both cases, default is a difficult political decision whose real costs remain somewhat ambiguous from a theoretical standpoint. The costs of default are often contingent on the type of debt restructuring deal reached between the debtor and the creditor. The scholarly literature on sovereign debt crises is substantial, particularly with respect to the economic, legal, and political costs of default. More recent theoretical work has focused on the trend toward increased domestic debt, which is expected to help reduce the probability of a debt crisis. However, domestically issued sovereign debt can lead to other types of risk. While relying on domestic institutional investors in local economies can help smooth cycles of liquidity shortages, over-reliance on those investors (particularly pension funds) can undermine the solvency of domestic banks and social security arrangements.
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36

Filatotchev, Igor, Douglas Michael Wright, and Garry D. Bruton. IPOs and Corporate Governance. Edited by Michael A. Hitt, Susan E. Jackson, Salvador Carmona, Leonard Bierman, Christina E. Shalley, and Douglas Michael Wright. Oxford University Press, 2015. http://dx.doi.org/10.1093/oxfordhb/9780190650230.013.17.

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This article discusses various aspects of corporate governance and initial public offerings (IPOs). It begins with an analysis of agency theory that addresses IPOs and corporate governance research, together with the impact of governance on investors. It then considers three aspects of corporate governance that are relevant to outside investors to the IPO: the IPO firm’s board of directors, executive compensation, and ownership concentration. It also examines how national institutions affect corporate governance worldwide and looks at two types of IPOs backed by private equity (PE): venture capital backed IPOs of entrepreneurial firms and PE-backed buyouts of companies that subsequently launch an IPO. The article also analyzes the link between information asymmetries and IPO performance before concluding with an outline of directions for future research that focus on important issues relating to IPOs and corporate governance.
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37

Wright, Mike, and Kevin Amess. Sovereign Wealth Funds and Private Equity. Edited by Douglas Cumming, Geoffrey Wood, Igor Filatotchev, and Juliane Reinecke. Oxford University Press, 2017. http://dx.doi.org/10.1093/oxfordhb/9780198754800.013.12.

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While the vast majority of SWFs invest in public equity and fixed income vehicles, about half invest in private equity (PE). PE includes several different types of funds investing in companies at different stages of development. Some 78% of SWFs investing in PE invest in buyouts stage funds; 72% in venture capital stage funds; 66% in growth stage funds, while 56% invest in funds investing in companies at the expansion stage. Only 41% have a strategy to invest in distressed company funds while 38% invest in the secondaries funds market. Some 14% of institutional capital raised by PE equity funds in 2015 came from sovereign wealth. This chapter argues that SWF investment in PE funds is more likely to be part of an investment strategy that seeks to maximize returns because investment in PE funds does not afford the SWF direct control over firms bought using PE funds.
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38

Milliken, Christopher. Commodity Exchange-Traded Funds. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780190656010.003.0013.

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Commodity exchange-traded funds (ETCs), which debuted in 2004, enable investors to access an asset class previously difficult or expensive to access. Although a small segment of the overall exchange-traded fund (ETF) universe, ETCs have grown in popularity with both speculators and investors looking for long-term portfolio diversification. Examples of the types of commodities that are now accessible through ETCs include gold, oil, and agricultural. The literature on ETCs is limited, but academic and industry work has centered on using futures contracts to replicate the performance of the underlying commodities spot price as well as the effect additional capital has had on the integrity of the futures market. This chapter covers this topic by reviewing the growth, investment strategies, and regulatory structure of ETCs as well as the underlying effects these funds have had on the underlying markets with which they engage.
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39

Bowers, Q. David. A Guide Book Of United States Type Coins: A Complete History And Price Guide For The Collector And Investor (The Official Red Book). Whitman Publishing, 2004.

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40

Zrilic, Jure. The Protection of Foreign Investment in Times of Armed Conflict. Oxford University Press, 2019. http://dx.doi.org/10.1093/oso/9780198830375.001.0001.

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Foreign investors often sustain injuries during violent situations, such as riots, revolutions, civil wars, and international armed conflicts. There is a great deal of uncertainty about how effective investment treaty protections are in volatile times, how they relate to other applicable legal frameworks, and how they affect the state security policy and the post-conflict transition to peace. This book explores how foreign investment is protected in times of armed conflict under the investment treaty regime. It does so by combining insights from different areas of international law, including international investment law, international humanitarian law, international human rights law, the law of state responsibility, and the law of treaties. While the protections have evolved over time, with the investment treaty regime providing the strongest legal framework for protecting investors yet, there has been an apparent shift towards safeguarding a state’s security interests in recent treaty practice. The book identifies and analyses the flaws in the existent normative framework, but also highlights the potential that investment treaties have for minimizing the devastating effects of armed conflict. It offers an analytical framework for assessing the investment treaty regime in times of armed conflict, distinguishing between different paradigms and different types conflicts. It argues that a new approach is needed to appropriately balance the competing interests of host states and investors when it comes to investment protection in armed conflicts.
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41

Moten, James M., and C. W. Copeland. Insurance and Risk Management. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190269999.003.0017.

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According to modern portfolio theory (MPT), rational market participants make most decisions and seek to be compensated for additional risk. However, investors sometimes behave irrationally owing to preconceived notions and biases based on past experience. Behavioral finance offers an alternative view to MPT, suggesting that individuals often make irrational decisions. This chapter explores how individuals make decisions to buy different types of insurance, even when faced with predicable outcomes involving the frequency and severity of the loss. That is, individuals appear to buy insurance only when the frequency of loss is low and the severity of loss is high; otherwise they self-insure.
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42

Nofsinger, John R. Behavioral Aspects of Commodity Markets. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780190656010.003.0004.

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Are behavioral biases prevalent in commodities and futures markets? Although retail equity investors display many psychological biases, investors who are more sophisticated exhibit fewer biases. The market makers, traders (locals), speculators, hedgers, and institutions of the commodities and futures markets tend to be professional participants, and thus less prone to behavioral biases. Nevertheless, the fast-paced action of these markets is an environment that fosters behavioral errors. This chapter reviews the literature on the pervasiveness of prospect theory behavior and other biases in these markets. Strong evidence indicates that market participants exhibit loss aversion, the impact of reference points, the disposition effect, and overconfidence. They also engage in positive feedback trading and momentum investing. Lastly, the chapter reviews risk-taking and behavioral biases by the type of market participant, particularly focusing on market makers, floor traders, clearing members, and the public.
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43

Tunaru, Radu S. Mortgage Securitization; Pricing and Risk Management. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780198742920.003.0004.

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This chapter captures an overview of how real-estate risk is transferred to investors through securitization channels. A large part is dedicated to a less known financial instrument called balance guaranteed swap, which is a type of multi-period derivative contingent on cash-flows generated by a pool of mortgage loans. Emphasis is placed on the problems arising from modelling cash-flows and also revealed is the difficult task of dynamically managing the risk of the balance guaranteed swaps.
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44

Soledad Martinez Pería, María, and Sergio L. Schmukler. Understanding the Use of Long-Term Finance in Developing Countries. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780198815815.003.0004.

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This chapter reviews recent evidence on the use of long-term finance in developing countries (relative to developed ones) to try to identify where short- and long-term financing occurs, and what role different financial intermediaries and markets play in extending this type of financing. Although banks are the most important providers of credit, they do not seem to offer long-term financing. In fact, loans in developing countries have significantly shorter maturities than those in developed countries. Capital markets have become increasingly sizable since the 1990s and can provide financing at fairly long terms. But just a few large firms use these markets. Only some institutional investors provide funding at long-term maturities. Incentives for asset managers are tilted toward the short term due to constant monitoring. Instead, asset-liability managers have a longer-term horizon, as foreign investors in developing countries do. Governments might help expand long-term financing, although with limited policy tools.
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45

Norah, Gallagher, and Shan Wenhua. 5 Monetary Transfer. Oxford University Press, 2009. http://dx.doi.org/10.1093/law:iic/9780199230259.003.005.

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The transfer or repatriation of funds provision in bilateral investment treaties (BITs) is at the heart of the object and purpose of an investment treaty. The main aim of BITs is to encourage investment by investors of one state into the other state. This chapter discusses the types of payments covered in the repatriation provisions in China's BITs. It includes the scope of the clause and whether it covers both outward and inward transfer of funds. It looks at the types of payments that are covered by the transfer provisions and whether it is an illustrative list or an exhaustive one. It then considers the important provision on convertibility and exchange rates, what they mean, and when they are designated. Finally, the chapter looks at provisions typical to China's BIT provisions on transfer of funds, in particular the limitation on monetary transfers to compliance with “domestic laws and regulations.” The chapter also considers briefly the impact of the pending litigation before the ECJ against several member states on the scope of the transfer provisions in some of their BITs (including some with China) entered into before acceding to the EC Treaty.
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46

Farrelly, Caroline, and François-Serge Lhabitant. Event-Driven Hedge Fund Strategies. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780190607371.003.0012.

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This chapter explores some of the strategies used by event-driven hedge funds, namely merger arbitrage, trading distressed securities, special situations, and activism. This broad category within the hedge fund space attracts about a quarter of the capital deployed to this part of the alternatives world. Investors are drawn to the idea of uncorrelated returns that can act as a source of diversification for their portfolios as well as the ability to follow the news flow related to their investments. In essence, such trades should have identifiable catalysts and time frames. The chapter offers illustrative examples of historical trades, providing some context of the types of positions funds may take and time frames involved. Various skill sets should be sought in an event-driven manager. Managers dealing in distressed securities are likely to benefit from a legal expertise, whereas activists need to be able to influence management and campaign publically.
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47

Gargantini, Matteo, Carmine Di Noia, and Georgios Dimitropoulos. Cross-border Distribution of Collective Investment Products in the EU. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780198813392.003.0019.

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This chapter analyzes the current regulatory framework for cross-border distribution of investment funds and submits some proposals to improve it. The chapter is organized as follows. Section 2 provides a schematic description of the legal taxonomy for collective investment schemes. Section 3 addresses the EU disclosure regimes that apply to the distribution of various types of investment funds. Sections 4 and 5 consider conduct-of-business rules and, respectively, the legal framework for the allocation of supervisory powers on product regulation when fund units are distributed in more than one country. Section 6 provides some data that help assess the performance of the current framework for cross-border distribution. It then analyzes some of the residual legal rules and supervisory practices that still make cross-border distributions of funds more burdensome than purely national distributions, whether these restrictions are set forth in the country where investors are domiciled (Section 7) or in the fund's home country (Section 8).
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48

Baker, H. Kent, Greg Filbeck, and Jeffrey H. Harris. Commodities. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780190656010.003.0001.

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This chapter provides background information about commodities. The first section provides an introduction consisting of a discussion of benefits and risk and commodity investment strategies. The next two sections discuss the outlook for commodity performance and the purpose of the book, followed by sections on its distinguishing features and the intended audience. The chapter then outlines the six major sections of the book, including an abstract for each of the remaining 27 chapters. These sections are (1) background, (2) types of commodities, (3) methods to invest in commodities, (4) performance of commodities, (5) strategies and portfolio management, and (6) issues involving commodities. The final section offers a summary and conclusions.
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Simsek, Koray D. Commodity Trading Advisors and Managed Futures. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780190656010.003.0012.

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Managed futures strategies provide investors with a dynamic exposure to commodities. Among other ways of investing in them, commodity trading advisors (CTAs) have become synonymous with this asset class, as they provide professional money management services using derivatives markets either in a pooled or individual setting. Most managed futures strategies display trend-following and momentum-type systematic trading features, which result in adopting a long-short portfolio approach. This chapter explains the characteristics and the growth of this commodity investing industry and provides an extensive literature review. Much of the literature finds that managed futures investing through CTAs provides excellent diversification benefits and performs well, especially in crisis times. Conversely, the non-uniformity of the databases and indices used in these studies lead to several biases. Some recent studies that directly address these shortcomings question the performance persistence of CTAs after fees.
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Li, Jing. Investment Terms and Level of Control of China’s Sovereign Wealth Fund in its Portfolio Firms. Edited by Douglas Cumming, Geoffrey Wood, Igor Filatotchev, and Juliane Reinecke. Oxford University Press, 2017. http://dx.doi.org/10.1093/oxfordhb/9780198754800.013.11.

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This chapter briefly reviews the literature on sovereighn wealth funds (SWFs) with a focus on their investment characteristics and strategies. It describes the China Investment Corporation (CIC) with particular reference to its connections with the Chinese government. This is followed by analyses of hand-collected data based on 61 M&As, 8 JVs, and 28 fund investments made by the CIC 2007–15. The analyses focus on the formal control (equity stakes, voting rights, director nomination and board representation) of the CIC in its target firms, and on the indirect control benefits that the CIC can extract from them in their long-term post-investment relationships. The findings question the efficacy of proposals forcing SWFs to remain passive by suspending their voting rights, and suggest that SWF hosting countries should carefully consider the necessity and level of regulations directed at SWFs as a particular type of investors to guard against potential protectionism.
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