Capital Markets Law and Compliance : the Implications of MiFID.

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A practical guide to, and an analysis and critique of, the regulation of capital markets.

Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor principal: Nelson, Paul
Formato: Electrónico eBook
Idioma:Inglés
Publicado: Leiden : Cambridge University Press, 2008.
Colección:Law practitioner series.
Temas:
Financial services industry > Law and legislation > European Union countries.
Financial services industry > Law and legislation > Great Britain.
Financial services industry > State supervision > Great Britain.
Securities > Great Britain.
Stockbrokers > Legal status, laws, etc. > European Union countries.
Stockbrokers > Legal status, laws, etc. > Great Britain.
Services financiers > Contrôle de l'État > Grande-Bretagne.
Financial services industry > Law and legislation
Financial services industry > State supervision
Securities
Stockbrokers > Legal status, laws, etc.
European Union countries
Great Britain
Acceso en línea:Texto completo
Tabla de Contenidos:
  • Cover; Half-title; Series-title; Title; Copyright; Contents; Preface; List of acronyms; PART I Evolution of capital markets regulation, FSA and the European single market; I Introduction; 2 FSMA and the single market; PART II Licensing and rule application; 3 Licensing; 4 The application of FSA MiFID rules; PART III The firm's infrastructure; 5 Systems and controls; 6 Conflicts of interest; 7 Client property; PART IV Conduct of business; 8 Client classification and client documentation; 9 Principles of conduct; 10 Marketing investments; 11 Advising clients.
  • 12 Improper behaviour in dealing and executing13 Dealing and executing orders; 14 Exchanges and MTFs; PART V Application of rules to particular businesses; 15 Corporate finance; 16 Broker-dealers; 17 Asset managers; 18 Trustees; 19 Retail intermediaries; Bibliography; Index.

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