Capital markets law and compliance: the implications of MiFID
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 pres...
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Elektronisch E-Book |
| Sprache: | English |
| Veröffentlicht: |
Cambridge
Cambridge University Press
2008
|
| Schriftenreihe: | Law practitioner series
|
| Schlagworte: | |
| Online-Zugang: | DE-12 DE-473 DE-739 Volltext |
| Zusammenfassung: | 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 |
| Beschreibung: | Title from publisher's bibliographic system (viewed on 08 Oct 2015) |
| Beschreibung: | 1 online resource (xviii, 463 pages) |
| ISBN: | 9780511494802 |
| DOI: | 10.1017/CBO9780511494802 |
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Datensatz im Suchindex
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| contents | Evolution of capital markets regulations, FSA and the European single market -- Licensing and rule application -- The firm's infrastructure -- Conduct of business -- Application of rules to particular businesses |
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| geographic_facet | Europäische Union. Mitgliedsstaaten Großbritannien |
| id | DE-604.BV043919483 |
| illustrated | Not Illustrated |
| indexdate | 2025-01-02T13:06:55Z |
| institution | BVB |
| isbn | 9780511494802 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-029328566 |
| oclc_num | 873711160 |
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| owner_facet | DE-12 DE-473 DE-BY-UBG DE-739 |
| physical | 1 online resource (xviii, 463 pages) |
| psigel | ZDB-20-CBO ZDB-20-CBO BSB_PDA_CBO ZDB-20-CBO UBG_PDA_CBO ZDB-20-CBO UPA_PDA_CBO_Kauf2019 |
| publishDate | 2008 |
| publishDateSearch | 2008 |
| publishDateSort | 2008 |
| publisher | Cambridge University Press |
| record_format | marc |
| series2 | Law practitioner series |
| spelling | Nelson, Paul Verfasser aut Capital markets law and compliance the implications of MiFID Paul Nelson Capital Markets Law & Compliance Cambridge Cambridge University Press 2008 1 online resource (xviii, 463 pages) txt rdacontent c rdamedia cr rdacarrier Law practitioner series Title from publisher's bibliographic system (viewed on 08 Oct 2015) Evolution of capital markets regulations, FSA and the European single market -- Licensing and rule application -- The firm's infrastructure -- Conduct of business -- Application of rules to particular businesses 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 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 / Great Britain Financial services industry / Law and legislation / European Union countries Financial services industry / State supervision / Great Britain Securities / Great Britain Stockbrokers / Legal status, laws, etc / Great Britain Stockbrokers / Legal status, laws, etc / European Union countries 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 1\p DE-604 Erscheint auch als Druckausgabe 978-0-521-88936-0 Erscheint auch als Druckausgabe 978-1-107-40466-3 https://doi.org/10.1017/CBO9780511494802 Verlag URL des Erstveröffentlichers Volltext 1\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk |
| spellingShingle | Nelson, Paul Capital markets law and compliance the implications of MiFID Evolution of capital markets regulations, FSA and the European single market -- Licensing and rule application -- The firm's infrastructure -- Conduct of business -- Application of rules to particular businesses 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 / Great Britain Financial services industry / Law and legislation / European Union countries Financial services industry / State supervision / Great Britain Securities / Great Britain Stockbrokers / Legal status, laws, etc / Great Britain Stockbrokers / Legal status, laws, etc / European Union countries 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_alt | Capital Markets Law & Compliance |
| title_auth | Capital markets law and compliance the implications of MiFID |
| title_exact_search | 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 / Great Britain Financial services industry / Law and legislation / European Union countries Financial services industry / State supervision / Great Britain Securities / Great Britain Stockbrokers / Legal status, laws, etc / Great Britain Stockbrokers / Legal status, laws, etc / European Union countries 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 / Great Britain Financial services industry / Law and legislation / European Union countries Financial services industry / State supervision / Great Britain Securities / Great Britain Stockbrokers / Legal status, laws, etc / Great Britain Stockbrokers / Legal status, laws, etc / European Union countries Anlegerschutz Europäische Union. Mitgliedsstaaten Großbritannien |
| url | https://doi.org/10.1017/CBO9780511494802 |
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