Home >> Carti >> Capital Markets Law and Compliance

Cartea "Capital Markets Law and Compliance"

Capital Markets Law and Compliance
Capital Markets Law and Compliance

Capital Markets Law and Compliance


The Markets in Financial Instruments Directive (MiFID) is a detailed re-writing of the regulation of capital markets. To the extent those rules permit, the Financial Services Authority (FSA) is also introducing high-level ‘principles-based regulation’. In response to this, Paul Nelson presents practical guidance on the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management. All laws and rules relevant to the regulation of the capital markets are explained and put into context within the economic operation of markets, institutions and products, the European Single Market, the FSA’s poli...

Autor: Paul Nelson
ISBN: 978-0-521-88936-0
Editura: THEMIS CART
An apartie: 2008
Pagini: 482
Pret : N/A
Descriere

The Markets in Financial Instruments Directive (MiFID) is a detailed re-writing of the regulation of capital markets. To the extent those rules permit, the Financial Services Authority (FSA) is also introducing high-level ‘principles-based regulation’. In response to this, Paul Nelson presents practical guidance on the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management. All laws and rules relevant to the regulation of the capital markets are explained and put into context within the economic operation of markets, institutions and products, the European Single Market, the FSA’s policies and objectives, the historical evolution of the regulations and the general civil and criminal law. Drawing on 30 years experience as a practitioner, and referring t

Capital Markets Law and Compliance  

The Markets in Financial Instruments Directive (MiFID) is a detailed re-writing of the regulation of capital markets. To the extent those rules permit, the Financial Services Authority (FSA) is also introducing high-level ‘principles-based regulation’. In response to this, Paul Nelson presents practical guidance on the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management. All laws and rules relevant to the regulation of the capital markets are explained and put into context within the economic operation of markets, institutions and products, the European Single Market, the FSA’s policies and objectives, the historical evolution of the regulations and the general civil and criminal law. Drawing on 30 years experience as a practitioner, and referring to a vast range of supporting materials, the author provides an insightful analysis and critique of the rules, the rule makers and the institutions.



• Makes extensive use of all relevant regulatory material, giving the reader a complete understanding of the rules and ability to work with them, particularly in the context of principles-based regulation • Explains all areas of capital markets regulation, enabling the reader to understand the complex interaction of all rule areas relevant to a particular problem • Contains separate chapters for particular types of institution and market operation, enabling the reader to focus on relevant materials for solving a particular problem.



Contents



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.

- mai multe detalii -

Pentru moment cartea nu este disponibila. Va rugam reveniti pentru a-i verifica disponibilitatea iar pana atunci va recomandam cartile din tabul alaturat.

Nu uitati sa consultati si sectiunea de carti electronice (eBooks - de pe cele mai populare siteuri) de mai jos!

Abonament portal Fisa-Postului.ro

Pret de la: 620 RON
Autor: Ioana Manaila
ISBN: RS 4
Editura: RENTROP&STRATON
An aparitie: 2010   Format: Portal

An Introduction to International Criminal Law and Procedure

Pret de la: 351 RON
Autor: Robert Cryer
ISBN: 978-0-521-87609-4
Editura: THEMIS CART
An aparitie: 2007   Pagini: 522   Format: 247 x 174 mm

An Introduction to International Criminal Law and Procedure

Pret de la: 160 RON
Autor: Robert Cryer
ISBN: 978-0-521-69954-9
Editura: THEMIS CART
An aparitie: 2007   Pagini: 522   Format: 247 x 174 mm

Audio-visual Coverage of Courts

Pret de la: 351 RON
ISBN: 978-0-521-87527-1
Editura: THEMIS CART
An aparitie: 2008   Pagini: 526   Format: 22,8 x 15,2 cm

Biodiversity Conservation, Law and Livelihoods: Bridging the North-South Divide

Pret de la: 401 RON
ISBN: 978-0-521-88503-4
Editura: THEMIS CART
An aparitie: 2008   Pagini: 612   Format: 253 x 177 mm

Boilerplate

Pret de la: 226 RON
ISBN: 978-0-521-85918-9
Editura: THEMIS CART
An aparitie: 2007   Format: 22,8 x 15,2 cm

Boilerplate

Pret de la: 90 RON
ISBN: 978-0-521-67638-0
Editura: THEMIS CART
An aparitie: 2007   Pagini: 256   Format: 22,8 x 15,2 cm

Casatoria in legislatia Romaniei si a Republicii Moldova

Pret de la: 25 RON
ISBN: 978-973-86766-9-5
Editura: SFERA JURIDICA
An aparitie: 2006   Pagini: 336  

CD Apararea Impotriva Incendiilor - Ghid Practic

Pret de la: 147.15 RON
ISBN: 978-973-722-565-8
Editura: RENTROP&STRATON
An aparitie: 2010   Format: CD
Scrie recenzia sau spune-ne opiniile tale despre 'Capital Markets Law and Compliance'.
Cu ce ai ramas citind aceasta carte?

Carti electronice - eBooks
Cartea pe care o cauti
Partenerul saptamanii
Editura Adantis a aparut in lumea editoriala romaneasca din dorinta de a aduce iubitorilor de carte titluri noi si captivante care sa-i ajute sa-si descopere adevarata personalitate, cea de dincolo de barierele impuse de societatea actuala, si sa traiasca in armonie, intr-o lume mai buna.
Recomandari

Ferestre spre cer

Pret de la: 1.2 RON
ISBN: V&S 93
An aparitie: 2010   Pagini: 128   Format: 141 g, full-color
Categorie: Manuscrise , Manuscrise

Cancerul mamar

Pret de la: 9 RON
ISBN: V&S 6
An aparitie: 2008   Pagini: 142   Format: N/A; 154 g

CD Consilier - Codul Muncii

Pret de la: 596.23 RON
ISBN: 978-973-722-603-7
Editura: RENTROP&STRATON
An aparitie: 2010   Format: CD

101 sfaturi de nutritie pentru persoanele cu diabet

Pret de la: 18.5 RON
ISBN: House of Guides 46
Editura: HOUSE OF GUIDES
Pagini: 144   Format: 165x235 mm

Atlasul ilustrat al lumii pentru copii

Pret de la: 39.5 RON
ISBN: House of Guides 6
Editura: HOUSE OF GUIDES
An aparitie: 2008   Pagini: 44   Format: 250x335 mm

DINCOLO DE SECRET

Pret de la: 32 RON
Autor: dr. Lisa Love
ISBN: 978-606-92318-2-1
Editura: ADANTIS
An aparitie: 2011   Pagini: 256   Format: 13/20
Categorie: Manuscrise