Capital markets law and compliance : the implications of MiFID / Paul Nelson.

Format:

Book

Author/Creator:

Nelson, Paul, author.

Series:

Law practitioner series

Language:

English

Subjects (All):

Financial services industry--Law and legislation--Great Britain.

Financial services industry.

Financial services industry--Law and legislation.

Stockbrokers--Legal status, laws, etc.

Financial services industry--State supervision.

Great Britain.

Financial services industry--Law and legislation--European Union countries.

Financial services industry--State supervision--Great Britain.

Securities--Great Britain.

Securities.

Stockbrokers--Legal status, laws, etc--Great Britain.

Stockbrokers.

Stockbrokers--Legal status, laws, etc--European Union countries.

European Parliament. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments.

European Parliament.

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments (European Parliament).

European Union countries.

Physical Description:

1 online resource (xviii, 463 pages) : digital, PDF file(s).

Other Title:

Capital Markets Law & Compliance

Place of Publication:

Cambridge : Cambridge University Press, 2008.

System Details:

text file

PDF

Summary:

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.

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.

Notes:

Title from publisher's bibliographic system (viewed on 08 Oct 2015).

Other Format:

Print version:

ISBN:

9780511494802

Access Restriction:

Restricted for use by site license.