Capital Markets Law and Compliance: The Implications of MiFID: Law Practitioner Series
Autor Paul Nelsonen Limba Engleză Paperback – 21 feb 2012
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Specificații
ISBN-13: 9781107404663
ISBN-10: 1107404665
Pagini: 482
Dimensiuni: 153 x 230 x 28 mm
Greutate: 0.7 kg
Editura: Cambridge University Press
Colecția Cambridge University Press
Seria Law Practitioner Series
Locul publicării:New York, United States
ISBN-10: 1107404665
Pagini: 482
Dimensiuni: 153 x 230 x 28 mm
Greutate: 0.7 kg
Editura: Cambridge University Press
Colecția Cambridge University Press
Seria Law Practitioner Series
Locul publicării:New York, United States
Cuprins
Part I. Evolution of Capital Markets Regulation, FSA and the European Single Market: 1. 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 executing orders; 13. Dealing and executing orders; 14. Exchanges and MTFs; Part V. Application of MiFID to Particular Businesses: 15. Corporate finance; 16. Broker-dealers; 17. Asset managers; 18. Trustees; 19. Retail intermediaries.
Descriere
A practical guide to, and an analysis and critique of, the regulation of capital markets.