Paul Nelson is a retired Middle School Music teacher. He grew up in the woods of Pennsylvania but now lives with his son, Michael, in Buffalo, New York. Michael is autistic and non-verbal. He inspires many of the characters for Paul's books. As a team, Paul and Michael have written eleven books to entertain and enlighten others about autism. They believe that fiction, rather than "preaching," is a great way to open eyes and minds.
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.
