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Capital Markets Law and Compliance : the Implications of MiFID.
A practical guide to, and an analysis and critique of, the regulation of capital markets.
| Clasificación: | Libro Electrónico |
|---|---|
| Autor principal: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
Leiden :
Cambridge University Press,
2008.
|
| Colección: | Law practitioner series.
|
| Temas: | |
| Acceso en línea: | Texto completo |
MARC
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|---|---|---|---|
| 001 | EBOOKCENTRAL_ocn437197146 | ||
| 003 | OCoLC | ||
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| 100 | 1 | |a Nelson, Paul. | |
| 245 | 1 | 0 | |a Capital Markets Law and Compliance : |b the Implications of MiFID. |
| 260 | |a Leiden : |b Cambridge University Press, |c 2008. | ||
| 300 | |a 1 online resource (483 pages) | ||
| 336 | |a text |b txt |2 rdacontent | ||
| 337 | |a computer |b c |2 rdamedia | ||
| 338 | |a online resource |b cr |2 rdacarrier | ||
| 490 | 1 | |a Law Practitioner Series | |
| 505 | 0 | |a 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. | |
| 505 | 8 | |a 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. | |
| 520 | |a A practical guide to, and an analysis and critique of, the regulation of capital markets. | ||
| 588 | 0 | |a Print version record. | |
| 590 | |a ProQuest Ebook Central |b Ebook Central Academic Complete | ||
| 650 | 0 | |a Financial services industry |x Law and legislation |z European Union countries. | |
| 650 | 0 | |a Financial services industry |x Law and legislation |z Great Britain. | |
| 650 | 0 | |a Financial services industry |x State supervision |z Great Britain. | |
| 650 | 0 | |a Securities |z Great Britain. | |
| 650 | 0 | |a Stockbrokers |x Legal status, laws, etc. |z European Union countries. | |
| 650 | 0 | |a Stockbrokers |x Legal status, laws, etc. |z Great Britain. | |
| 650 | 6 | |a Services financiers |x Contrôle de l'État |z Grande-Bretagne. | |
| 650 | 7 | |a Financial services industry |x Law and legislation |2 fast | |
| 650 | 7 | |a Financial services industry |x State supervision |2 fast | |
| 650 | 7 | |a Securities |2 fast | |
| 650 | 7 | |a Stockbrokers |x Legal status, laws, etc. |2 fast | |
| 651 | 7 | |a European Union countries |2 fast | |
| 651 | 7 | |a Great Britain |2 fast |1 https://id.oclc.org/worldcat/entity/E39PBJdmp7p3cx8hpmJ8HvmTpP | |
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| 776 | 1 | |z 9780521889360 | |
| 830 | 0 | |a Law practitioner series. | |
| 856 | 4 | 0 | |u https://ebookcentral.uam.elogim.com/lib/uam-ebooks/detail.action?docID=328977 |z Texto completo |
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