Capital markets law and compliance: the implications of MiFID
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Cambridge [u.a.]
Cambridge Univ. Press
2008
|
| Ausgabe: | 1. publ. |
| Schriftenreihe: | Law practitioner series
|
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XVIII, 463 S. graph. Darst. |
| ISBN: | 9780521889360 |
Internformat
MARC
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| 245 | 1 | 0 | |a Capital markets law and compliance |b the implications of MiFID |c Paul Nelson |
| 250 | |a 1. publ. | ||
| 264 | 1 | |a Cambridge [u.a.] |b Cambridge Univ. Press |c 2008 | |
| 300 | |a XVIII, 463 S. |b graph. Darst. | ||
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| 337 | |b n |2 rdamedia | ||
| 338 | |b nc |2 rdacarrier | ||
| 490 | 0 | |a Law practitioner series | |
| 610 | 2 | 4 | |a European Parliament. |t Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments |
| 610 | 2 | 7 | |a Europäische Union |0 (DE-588)5098525-5 |2 gnd |9 rswk-swf |
| 650 | 4 | |a Recht | |
| 650 | 4 | |a Financial services industry |x Law and legislation |z European Union countries | |
| 650 | 4 | |a Financial services industry |x Law and legislation |z Great Britain | |
| 650 | 4 | |a Financial services industry |x State supervision |z Great Britain | |
| 650 | 4 | |a Securities |z Great Britain | |
| 650 | 4 | |a Stockbrokers |x Legal status, laws, etc. |z European Union countries | |
| 650 | 4 | |a Stockbrokers |x Legal status, laws, etc. |z Great Britain | |
| 650 | 0 | 7 | |a Anlegerschutz |0 (DE-588)4002106-3 |2 gnd |9 rswk-swf |
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| 651 | 4 | |a Großbritannien | |
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Datensatz im Suchindex
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| adam_text |
CONTENTS PREFACE XIII LIST OF ACRONYMS XIV PART I EVOLUTION OF CAPITAL
MARKETS REGULATION, FSA AND THE EUROPEAN SINGLE MARKET 1 1 2 2.1 2.2
2.2.1 2.2.2 2.3 2.4 2.4.1 2.4.2 2.4.3 2.4.4 2.5 2.5.1 2.5.2 2.5.3 2.5.4
2.5.5 2.5.6 2.5.7 2.5.8 2.6 PART II 3 3.1 3.2 INTRODUCTION FSMA AND THE
SINGLE MARKET EVOLUTION UP TO THE 1930S THE SECONDARY MARKET AND THE
LONDON STOCK EXCHANGE PRIMARY MARKET NEW ISSUES THE PREVENTION OF FRAUD
ACTS THE FINANCIAL SERVICES ACT 1986 REFORM OF SECURITIES REGULATION
SELF-REGULATION? RULES AND PRINCIPLES A COMPLETE (FUNCTIONAL) REGULATORY
REGIME FSMA THE STATUTORY OBJECTIVES CONVEYANCE STRUCTURE ANNUAL REPORT
PRACTITIONER INPUT AND CONSULTATION ENFORCEMENT COMPLAINTS COMMISSIONER
ACCOUNTABILITY TO TREASURY THE RULEBOOK EUROPEAN UNION DIRECTIVES
LICENSING AND RULE APPLICATION LICENSING ANALYSING THE APPLICATION OF
REGULATIONS RESULATED ACTIVITIES 3 8 8 9 9 10 12 15 15 17 19 22 27 33 36
37 38 39 43 44 45 53 61 63 63 64 VLL CAPITAL MARKETS LAW AND COMPLIANCE
3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.2.7 3.2.8 3.3 3.4 3.5 4 4.1 4.2
PART III 5 5.1 5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 5.3 5.3.1 5.3.2 5.4
5.4.1 5.4.2 5.5 5.6 6 6.1 6.2 6.2.1 6.2.2 6.2.3 6.3 6.3.1 6.3.2 6.3.3
'INVESTMENTS' 'INVESTMENT ACTIVITIES' ACTIVITIES IN AND/OR FROM A UK
PLACE OF BUSINESS ACTIVITIES INTO THE UK AND THE OVERSEAS PERSONS
EXCLUSION EXCLUDED ACTIVITIES THE ISD/MIFID OVERRIDE BY WAY OF BUSINESS
A LICENCE IS REQUIRED PROCESS AND CRITERIA PASSPORTING NON-EEA FIRMS THE
APPLICATION OF FSA MIFID RULES METHODOLOGY RULES OF APPLICATION THE
FIRM'S INFRASTRUCTURE SYSTEMS AND CONTROLS EVOLUTION OF FSA'S APPROACH
SYSTEMS AND CONTROLS RULES OVERALL REQUIREMENT APPORTIONMENT OF
RESPONSIBILITY CONTROL FUNCTIONS EMPLOYEES OUTSOURCING SENIOR MANAGEMENT
RESPONSIBILITY REGISTRATION AS AN APPROVED PERSON RULE RESPONSIBILITIES
APPROVED PERSONS REGISTRATION AS AN APPROVED PERSON RULE
RESPONSIBILITIES RECORD-KEEPING FSA'S RISK ASSESSMENT METHODOLOGY
CONFLICTS OF INTEREST DIFFERENCES IN INTERESTS AND CONFLICTS OF INTEREST
THE GENERAL LAW OF FIDUCIARIES A FIDUCIARY RELATIONSHIP A CONFLICT OF
INTEREST SOLUTIONS REGULATORY RULES THE GENERAL RULE INDUCEMENTS SOFT
COMMISSION AND BUNDLING 65 79 86 86 88 90 92 92 94 94 96 98 98 98 111
113 113 117 118 121 123 125 128 132 132 135 139 139 140 140 142 146 146
146 146 148 153 158 158 166 171 VLLL CONTENTS 6.3.4 6.3.5 6.3.6 6.3.7
6.3.8 7 7.1 7.1.1 7.1.2 7.1.3 7.2 7.2.1 7.2.2 7.2.3 PART IV 8 8.1 8.2
8.2.1 8.2.2 8.3 8.3.1 8.3.2 8.3.3 8.4 8.4.1 8.4.2 8.4.3 8.4.4 8.4.5
8.4.6 8.4.7 9 9.1 9.1.1 9.1.2 9.2 9.3 10 10.1 INVESTMENT RESEARCH
CORPORATE FINANCE SECURITIES ISSUES CHURNING PERSONAL ACCOUNT DEALING
POLARISATION CLIENT PROPERTY CLIENT ASSETS AND CUSTODY PROTECTING THE
CLIENT'S ASSETS APPLICATION OF THE CUSTODY RULES PROCEDURES CLIENT MONEY
PROTECTING THE CLIENT'S MONEY DEFINING CLIENT MONEY PROCEDURES CONDUCT
OF BUSINESS CLIENT CLASSIFICATION AND CLIENT DOCUMENTATION REGULATORY
POLICY 'CLIENTS' FOR REGULATORY PURPOSES THE DEFINITION OF 'CLIENT'
CLIENTS ACTING AS AGENT CLIENT CATEGORISATION PRIVATE CUSTOMERS AND
RETAIL CLIENTS INTERMEDIATE CUSTOMERS AND PROFESSIONAL CLIENTS MARKET
COUNTERPARTIES AND ELIGIBLE COUNTERPARTIES TERMS OF BUSINESS THE
REQUIREMENT CONTENT FORM AMENDMENTS STANDARD TERMS AND EXCLUSION CLAUSES
ENFORCEMENT ONE-WAY AND TWO-WAY NOTIFICATIONS PRINCIPLES OF CONDUCT THE
FSA'S 11 PRINCIPLES POLICY APPLICATION TREATING THE CUSTOMER FAIRLY THE
MIFID PRINCIPLE MARKETING INVESTMENTS THE DIFFERENT REGULATORY REGIMES
178 189 191 191 193 194 194 194 199 203 208 208 211 216 223 225 225 226
226 229 230 231 231 239 241 241 243 249 249 250 251 251 254 254 254 257
259 264 265 265 IX CAPITAL MARKETS LAW AND COMPLIANCE 10.2 SECURITIES
10.2.1 TRANSFERABLE SECURITIES 10.2.2 OFFER TO THE PUBLIC 10.3
MISLEADING ETC MARKETING 10.4 MARKETING BY UNLICENSED PERSONS 10.4.1
MARKETING UP TO THE END OF THE 20TH CENTURY 10.4.2 THE FSMA REGIME 10.5
MARKETING BY LICENSED PERSONS 10.5.1 FULL DISCLOSURE 10.5.2 SPECIFIC
DISCLOSURES 10.5.3 REAL-TIME PROMOTIONS 10.5.4 ELECTRONIC COMMERCE
DIRECTIVE 10.5.5 DISTANCE MARKETING 10.5.6 COLLECTIVE INVESTMENT SCHEMES
11 ADVISING CLIENTS 11.1 GENERAL LAW 11.2 THE REGULATED ACTIVITY 11.3
EXECUTION-ONLY SERVICES 11.4 APPROPRIATENESS 11.5 MARGIN LENDING 11.5.1
CONSUMER CREDIT 11.5.2 SECURITIES REGULATION 12 IMPROPER BEHAVIOUR IN
DEALING AND EXECUTING ORDERS 12.1 INTRODUCTION 12.2 INSIDER DEALING
12.2.1 AN INDIVIDUAL 12.2.2 TERRITORIAL JURISDICTION 12.2.3 INSIDE
INFORMATION 12.2.4 CONNECTION 12.2.5 DEALING 12.2.6 ENCOURAGING 12.2.7
DISCLOSURE 12.2.8 DEFENCES 12.3 MARKET MANIPULATION 12.3.1 ACT OR COURSE
OF CONDUCT 12.3.2 FALSE OR MISLEADING IMPRESSION 12.3.3 IN THE UK 12.3.4
PURPOSE 12.3.5 INDUCING 12.3.6 REASONABLE BELIEF 12.3.7 DEFENCES 12.4 A
PRINCIPLE OF CONDUCT AND THE NEED FOR AN ADMINISTRATIVE REMEDY 265 268
268 270 272 272 276 282 282 289 293 293 296 298 306 306 307 318 320 324
324 324 326 326 326 327 327 329 331 332 332 333 333 336 336 337 338 339
339 339 339 343 CONTENTS 12.4.1 AN ADMINISTRATIVE OFFENCE 12.4.2 THE
BURDEN OF PROOF 12.4.3 INTENTION 12.4.4 AFFECTED PERSONS AND CERTAINTY
12.4.5 MULTIPLE JEOPARDY 12.5 THE MARKET ABUSE REGIME 12.5.1 'BEHAVIOUR'
IN RELATION TO AN EXCHANGE 12.5.2 TERRITORIAL AMBIT 12.5.3 MISUSE OF
INFORMATION 12.5.4 FALSE OR MISLEADING IMPRESSION 12.5.5 DISTORTION
12.5.6 THE REASONABLE AND REGULAR USER 12.5.7 REQUIRING OR ENCOURAGING
12.5.8 SAFE HARBOURS 12.5.9 MITIGATING FACTORS 12.6 THE PRINCIPLE 12.7
THE FUTURE 13 DEALING AND EXECUTING ORDERS 13.1 TRANSACTIONS 13.1.1
PRE-TRANSACTION 13.1.2 THE ORDER TO DEAL 13.1.3 THE DECISION ON HOW TO
DEAL 13.1.4 EXECUTING TRANSACTIONS 13.1.5 OWN ACCOUNT DEALING 13.2 BEST
EXECUTION 13.2.1 POLICY 13.2.2 WHEN THE BEST EXECUTION OBLIGATION
APPLIES 13.2.3 ACHIEVING BEST EXECUTION 13.3 SYSTEMATIC INTERNALISERS
13.3.1 INTRODUCTION 13.3.2 THE INVESTMENT SERVICES DIRECTIVE 13.3.3
MIFID 13.4 REPORTING 13.4.1 TRADE REPORTING 13.4.2 TRANSACTION REPORTING
13.4.3 REPORTING TO CLIENTS 14 EXCHANGES AND MTFS 14.1 REGULATED MARKETS
14.2 MULTI-LATERAL TRADING FACILITIES (ALTERNATIVE TRADING SYSTEMS)
14.2.1 THE NEED FOR SEPARATE REGULATION 14.2.2 REGULATORY STANDARDS 14.3
CLEARING SERVICES 345 345 346 347 347 347 349 350 350 360 364 371 373
374 374 375 376 378 378 378 378 379 380 388 391 391 391 398 407 407 408
409 413 413 415 417 418 418 418 418 419 422 XI CAPITAL MARKETS LAW AND
COMPLIANCE PART V APPLICATION OF RULES TO PARTICULAR BUSINESSES 423 425
425 425 426 426 427 429 429 429 429 429 429 430 432 432 432 432 432 432
434 434 434 434 434 434 434 434 435 435 438 438 438 438 438 438 438 438
439 440 441 XII 15 15.1 15.2 15.3 15.3.1 15.3.2 16 16.1 16.2 16.3 16.3.1
16.3.2 16.3.3 17 17.1 17.1.1 17.1.2 17.1.3 17.2 18 18.1 18.2 18.2.1
18.2.2 18.2.3 18.3 18.3.1 18.3.2 18.3.3 19 19.1 19.1.1 19.1.2 19.1.3
19.2 19.2.1 19.2.2 19.2.3 CORPORATE FINANCE REGULATORY STATUS
INFRASTRUCTURE RULES CONDUCT RULES CONDUCT RULES MIFID BROKER-DEALERS
REGULATORY STATUS INFRASTRUCTURE RULES CONDUCT RULES SECURITIES AND
DERIVATIVES BROKING AND DEALING ENERGY AND OIL MARKETS STOCKLENDING
ASSET MANAGERS PORTFOLIO MANAGERS REGULATORY STATUS INFRASTRUCTURE RULES
CONDUCT RULES COLLECTIVE INVESTMENT SCHEMES TRUSTEES TRUSTEES OF
COLLECTIVE INVESTMENT SCHEMES CUSTODIANS REGULATORY STATUS
INFRASTRUCTURE RULES CONDUCT RULES OTHER TRUSTEES REGULATORY STATUS
INFRASTRUCTURE RULES PRE-MIFID CONDUCT RULES RETAIL INTERMEDIARIES
STOCKBROKERS REGULATORY STATUS INFRASTRUCTURE RULES CONDUCT RULES
PACKAGED PRODUCT INTERMEDIARIES REGULATORY STATUS INFRASTRUCTURE RULES
CONDUCT RULES BIBLIOGRAPHY INDEX |
| adam_txt |
CONTENTS PREFACE XIII LIST OF ACRONYMS XIV PART I EVOLUTION OF CAPITAL
MARKETS REGULATION, FSA AND THE EUROPEAN SINGLE MARKET 1 1 2 2.1 2.2
2.2.1 2.2.2 2.3 2.4 2.4.1 2.4.2 2.4.3 2.4.4 2.5 2.5.1 2.5.2 2.5.3 2.5.4
2.5.5 2.5.6 2.5.7 2.5.8 2.6 PART II 3 3.1 3.2 INTRODUCTION FSMA AND THE
SINGLE MARKET EVOLUTION UP TO THE 1930S THE SECONDARY MARKET AND THE
LONDON STOCK EXCHANGE PRIMARY MARKET NEW ISSUES THE PREVENTION OF FRAUD
ACTS THE FINANCIAL SERVICES ACT 1986 REFORM OF SECURITIES REGULATION
SELF-REGULATION? RULES AND PRINCIPLES A COMPLETE (FUNCTIONAL) REGULATORY
REGIME FSMA THE STATUTORY OBJECTIVES CONVEYANCE STRUCTURE ANNUAL REPORT
PRACTITIONER INPUT AND CONSULTATION ENFORCEMENT COMPLAINTS COMMISSIONER
ACCOUNTABILITY TO TREASURY THE RULEBOOK EUROPEAN UNION DIRECTIVES
LICENSING AND RULE APPLICATION LICENSING ANALYSING THE APPLICATION OF
REGULATIONS RESULATED ACTIVITIES 3 8 8 9 9 10 12 15 15 17 19 22 27 33 36
37 38 39 43 44 45 53 61 63 63 64 VLL CAPITAL MARKETS LAW AND COMPLIANCE
3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.2.7 3.2.8 3.3 3.4 3.5 4 4.1 4.2
PART III 5 5.1 5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 5.3 5.3.1 5.3.2 5.4
5.4.1 5.4.2 5.5 5.6 6 6.1 6.2 6.2.1 6.2.2 6.2.3 6.3 6.3.1 6.3.2 6.3.3
'INVESTMENTS' 'INVESTMENT ACTIVITIES' ACTIVITIES IN AND/OR FROM A UK
PLACE OF BUSINESS ACTIVITIES INTO THE UK AND THE OVERSEAS PERSONS
EXCLUSION EXCLUDED ACTIVITIES THE ISD/MIFID OVERRIDE BY WAY OF BUSINESS
A LICENCE IS REQUIRED PROCESS AND CRITERIA PASSPORTING NON-EEA FIRMS THE
APPLICATION OF FSA MIFID RULES METHODOLOGY RULES OF APPLICATION THE
FIRM'S INFRASTRUCTURE SYSTEMS AND CONTROLS EVOLUTION OF FSA'S APPROACH
SYSTEMS AND CONTROLS RULES OVERALL REQUIREMENT APPORTIONMENT OF
RESPONSIBILITY CONTROL FUNCTIONS EMPLOYEES OUTSOURCING SENIOR MANAGEMENT
RESPONSIBILITY REGISTRATION AS AN APPROVED PERSON RULE RESPONSIBILITIES
APPROVED PERSONS REGISTRATION AS AN APPROVED PERSON RULE
RESPONSIBILITIES RECORD-KEEPING FSA'S RISK ASSESSMENT METHODOLOGY
CONFLICTS OF INTEREST DIFFERENCES IN INTERESTS AND CONFLICTS OF INTEREST
THE GENERAL LAW OF FIDUCIARIES A FIDUCIARY RELATIONSHIP A CONFLICT OF
INTEREST SOLUTIONS REGULATORY RULES THE GENERAL RULE INDUCEMENTS SOFT
COMMISSION AND BUNDLING 65 79 86 86 88 90 92 92 94 94 96 98 98 98 111
113 113 117 118 121 123 125 128 132 132 135 139 139 140 140 142 146 146
146 146 148 153 158 158 166 171 VLLL CONTENTS 6.3.4 6.3.5 6.3.6 6.3.7
6.3.8 7 7.1 7.1.1 7.1.2 7.1.3 7.2 7.2.1 7.2.2 7.2.3 PART IV 8 8.1 8.2
8.2.1 8.2.2 8.3 8.3.1 8.3.2 8.3.3 8.4 8.4.1 8.4.2 8.4.3 8.4.4 8.4.5
8.4.6 8.4.7 9 9.1 9.1.1 9.1.2 9.2 9.3 10 10.1 INVESTMENT RESEARCH
CORPORATE FINANCE SECURITIES ISSUES CHURNING PERSONAL ACCOUNT DEALING
POLARISATION CLIENT PROPERTY CLIENT ASSETS AND CUSTODY PROTECTING THE
CLIENT'S ASSETS APPLICATION OF THE CUSTODY RULES PROCEDURES CLIENT MONEY
PROTECTING THE CLIENT'S MONEY DEFINING CLIENT MONEY PROCEDURES CONDUCT
OF BUSINESS CLIENT CLASSIFICATION AND CLIENT DOCUMENTATION REGULATORY
POLICY 'CLIENTS' FOR REGULATORY PURPOSES THE DEFINITION OF 'CLIENT'
CLIENTS ACTING AS AGENT CLIENT CATEGORISATION PRIVATE CUSTOMERS AND
RETAIL CLIENTS INTERMEDIATE CUSTOMERS AND PROFESSIONAL CLIENTS MARKET
COUNTERPARTIES AND ELIGIBLE COUNTERPARTIES TERMS OF BUSINESS THE
REQUIREMENT CONTENT FORM AMENDMENTS STANDARD TERMS AND EXCLUSION CLAUSES
ENFORCEMENT ONE-WAY AND TWO-WAY NOTIFICATIONS PRINCIPLES OF CONDUCT THE
FSA'S 11 PRINCIPLES POLICY APPLICATION TREATING THE CUSTOMER FAIRLY THE
MIFID PRINCIPLE MARKETING INVESTMENTS THE DIFFERENT REGULATORY REGIMES
178 189 191 191 193 194 194 194 199 203 208 208 211 216 223 225 225 226
226 229 230 231 231 239 241 241 243 249 249 250 251 251 254 254 254 257
259 264 265 265 IX CAPITAL MARKETS LAW AND COMPLIANCE 10.2 SECURITIES
10.2.1 TRANSFERABLE SECURITIES 10.2.2 OFFER TO THE PUBLIC 10.3
MISLEADING ETC MARKETING 10.4 MARKETING BY UNLICENSED PERSONS 10.4.1
MARKETING UP TO THE END OF THE 20TH CENTURY 10.4.2 THE FSMA REGIME 10.5
MARKETING BY LICENSED PERSONS 10.5.1 FULL DISCLOSURE 10.5.2 SPECIFIC
DISCLOSURES 10.5.3 REAL-TIME PROMOTIONS 10.5.4 ELECTRONIC COMMERCE
DIRECTIVE 10.5.5 DISTANCE MARKETING 10.5.6 COLLECTIVE INVESTMENT SCHEMES
11 ADVISING CLIENTS 11.1 GENERAL LAW 11.2 THE REGULATED ACTIVITY 11.3
EXECUTION-ONLY SERVICES 11.4 APPROPRIATENESS 11.5 MARGIN LENDING 11.5.1
CONSUMER CREDIT 11.5.2 SECURITIES REGULATION 12 IMPROPER BEHAVIOUR IN
DEALING AND EXECUTING ORDERS 12.1 INTRODUCTION 12.2 INSIDER DEALING
12.2.1 AN INDIVIDUAL 12.2.2 TERRITORIAL JURISDICTION 12.2.3 INSIDE
INFORMATION 12.2.4 CONNECTION 12.2.5 DEALING 12.2.6 ENCOURAGING 12.2.7
DISCLOSURE 12.2.8 DEFENCES 12.3 MARKET MANIPULATION 12.3.1 ACT OR COURSE
OF CONDUCT 12.3.2 FALSE OR MISLEADING IMPRESSION 12.3.3 IN THE UK 12.3.4
PURPOSE 12.3.5 INDUCING 12.3.6 REASONABLE BELIEF 12.3.7 DEFENCES 12.4 A
PRINCIPLE OF CONDUCT AND THE NEED FOR AN ADMINISTRATIVE REMEDY 265 268
268 270 272 272 276 282 282 289 293 293 296 298 306 306 307 318 320 324
324 324 326 326 326 327 327 329 331 332 332 333 333 336 336 337 338 339
339 339 339 343 CONTENTS 12.4.1 AN ADMINISTRATIVE OFFENCE 12.4.2 THE
BURDEN OF PROOF 12.4.3 INTENTION 12.4.4 AFFECTED PERSONS AND CERTAINTY
12.4.5 MULTIPLE JEOPARDY 12.5 THE MARKET ABUSE REGIME 12.5.1 'BEHAVIOUR'
IN RELATION TO AN EXCHANGE 12.5.2 TERRITORIAL AMBIT 12.5.3 MISUSE OF
INFORMATION 12.5.4 FALSE OR MISLEADING IMPRESSION 12.5.5 DISTORTION
12.5.6 THE REASONABLE AND REGULAR USER 12.5.7 REQUIRING OR ENCOURAGING
12.5.8 SAFE HARBOURS 12.5.9 MITIGATING FACTORS 12.6 THE PRINCIPLE 12.7
THE FUTURE 13 DEALING AND EXECUTING ORDERS 13.1 TRANSACTIONS 13.1.1
PRE-TRANSACTION 13.1.2 THE ORDER TO DEAL 13.1.3 THE DECISION ON HOW TO
DEAL 13.1.4 EXECUTING TRANSACTIONS 13.1.5 OWN ACCOUNT DEALING 13.2 BEST
EXECUTION 13.2.1 POLICY 13.2.2 WHEN THE BEST EXECUTION OBLIGATION
APPLIES 13.2.3 ACHIEVING BEST EXECUTION 13.3 SYSTEMATIC INTERNALISERS
13.3.1 INTRODUCTION 13.3.2 THE INVESTMENT SERVICES DIRECTIVE 13.3.3
MIFID 13.4 REPORTING 13.4.1 TRADE REPORTING 13.4.2 TRANSACTION REPORTING
13.4.3 REPORTING TO CLIENTS 14 EXCHANGES AND MTFS 14.1 REGULATED MARKETS
14.2 MULTI-LATERAL TRADING FACILITIES (ALTERNATIVE TRADING SYSTEMS)
14.2.1 THE NEED FOR SEPARATE REGULATION 14.2.2 REGULATORY STANDARDS 14.3
CLEARING SERVICES 345 345 346 347 347 347 349 350 350 360 364 371 373
374 374 375 376 378 378 378 378 379 380 388 391 391 391 398 407 407 408
409 413 413 415 417 418 418 418 418 419 422 XI CAPITAL MARKETS LAW AND
COMPLIANCE PART V APPLICATION OF RULES TO PARTICULAR BUSINESSES 423 425
425 425 426 426 427 429 429 429 429 429 429 430 432 432 432 432 432 432
434 434 434 434 434 434 434 434 435 435 438 438 438 438 438 438 438 438
439 440 441 XII 15 15.1 15.2 15.3 15.3.1 15.3.2 16 16.1 16.2 16.3 16.3.1
16.3.2 16.3.3 17 17.1 17.1.1 17.1.2 17.1.3 17.2 18 18.1 18.2 18.2.1
18.2.2 18.2.3 18.3 18.3.1 18.3.2 18.3.3 19 19.1 19.1.1 19.1.2 19.1.3
19.2 19.2.1 19.2.2 19.2.3 CORPORATE FINANCE REGULATORY STATUS
INFRASTRUCTURE RULES CONDUCT RULES CONDUCT RULES MIFID BROKER-DEALERS
REGULATORY STATUS INFRASTRUCTURE RULES CONDUCT RULES SECURITIES AND
DERIVATIVES BROKING AND DEALING ENERGY AND OIL MARKETS STOCKLENDING
ASSET MANAGERS PORTFOLIO MANAGERS REGULATORY STATUS INFRASTRUCTURE RULES
CONDUCT RULES COLLECTIVE INVESTMENT SCHEMES TRUSTEES TRUSTEES OF
COLLECTIVE INVESTMENT SCHEMES CUSTODIANS REGULATORY STATUS
INFRASTRUCTURE RULES CONDUCT RULES OTHER TRUSTEES REGULATORY STATUS
INFRASTRUCTURE RULES PRE-MIFID CONDUCT RULES RETAIL INTERMEDIARIES
STOCKBROKERS REGULATORY STATUS INFRASTRUCTURE RULES CONDUCT RULES
PACKAGED PRODUCT INTERMEDIARIES REGULATORY STATUS INFRASTRUCTURE RULES
CONDUCT RULES BIBLIOGRAPHY INDEX |
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| author | Nelson, Paul |
| author_facet | Nelson, Paul |
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| author_sort | Nelson, Paul |
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| edition | 1. publ. |
| format | Book |
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| geographic | Europäische Union. Mitgliedsstaaten Großbritannien |
| geographic_facet | Europäische Union. Mitgliedsstaaten Großbritannien |
| id | DE-604.BV022654822 |
| illustrated | Illustrated |
| index_date | 2024-07-02T18:22:48Z |
| indexdate | 2025-01-02T11:18:51Z |
| institution | BVB |
| isbn | 9780521889360 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-015860775 |
| oclc_num | 175284087 |
| open_access_boolean | |
| owner | DE-M382 DE-1049 DE-945 DE-384 DE-12 DE-19 DE-BY-UBM |
| owner_facet | DE-M382 DE-1049 DE-945 DE-384 DE-12 DE-19 DE-BY-UBM |
| physical | XVIII, 463 S. graph. Darst. |
| publishDate | 2008 |
| publishDateSearch | 2008 |
| publishDateSort | 2008 |
| publisher | Cambridge Univ. Press |
| record_format | marc |
| series2 | Law practitioner series |
| spelling | Nelson, Paul Verfasser aut Capital markets law and compliance the implications of MiFID Paul Nelson 1. publ. Cambridge [u.a.] Cambridge Univ. Press 2008 XVIII, 463 S. graph. Darst. txt rdacontent n rdamedia nc rdacarrier Law practitioner series European Parliament. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments Europäische Union (DE-588)5098525-5 gnd rswk-swf Recht 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 Anlegerschutz (DE-588)4002106-3 gnd rswk-swf Europäische Union. Mitgliedsstaaten Großbritannien Europäische Union (DE-588)5098525-5 b Anlegerschutz (DE-588)4002106-3 s DE-604 SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=015860775&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Nelson, Paul Capital markets law and compliance the implications of MiFID European Parliament. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments Europäische Union (DE-588)5098525-5 gnd Recht 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 Anlegerschutz (DE-588)4002106-3 gnd |
| subject_GND | (DE-588)5098525-5 (DE-588)4002106-3 |
| title | Capital markets law and compliance the implications of MiFID |
| title_auth | Capital markets law and compliance the implications of MiFID |
| title_exact_search | Capital markets law and compliance the implications of MiFID |
| title_exact_search_txtP | Capital markets law and compliance the implications of MiFID |
| title_full | Capital markets law and compliance the implications of MiFID Paul Nelson |
| title_fullStr | Capital markets law and compliance the implications of MiFID Paul Nelson |
| title_full_unstemmed | Capital markets law and compliance the implications of MiFID Paul Nelson |
| title_short | Capital markets law and compliance |
| title_sort | capital markets law and compliance the implications of mifid |
| title_sub | the implications of MiFID |
| topic | European Parliament. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments Europäische Union (DE-588)5098525-5 gnd Recht 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 Anlegerschutz (DE-588)4002106-3 gnd |
| topic_facet | European Parliament. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments Europäische Union Recht 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 Anlegerschutz Europäische Union. Mitgliedsstaaten Großbritannien |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=015860775&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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