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Capital Markets Law and Compliance : the Implications of MiFID.

Author: Paul Nelson
Publisher: Leiden : Cambridge University Press, 2008.
Series: Law practitioner series.
Edition/Format:   eBook : Document : EnglishView all editions and formats
Summary:
A practical guide to, and an analysis and critique of, the regulation of capital markets.
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Genre/Form: Electronic books
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Paul Nelson
ISBN: 9780511377617 0511377614
OCLC Number: 437197146
Description: 1 online resource (483 pages).
Contents: 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.
Series Title: Law practitioner series.

Abstract:

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

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