In response to the Markets in Financial Instruments Directive (MiFID) and the Financial Services and Markets Act 2000, this book presents practical guidance and a detailed analysis and critique of the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management.
In response to the Markets in Financial Instruments Directive (MiFID) and the Financial Services and Markets Act 2000, this book presents practical guidance and a detailed analysis and critique of the regulation of the capital markets, ranging from new issues and IPOs to investment banking, broker-dealing and asset management.
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.
Inhaltsangabe
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.
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.
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