Paul Nelson

Capital Markets Law and Compliance (eBook, PDF)

The Implications of MiFID

• Format: PDF

Produktbeschreibung

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.

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Produktdetails

• Verlag: Cambridge University Press
• Erscheinungstermin: 10. Januar 2008
• Englisch
• ISBN-13: 9780511373329
• Artikelnr.: 38199259

Autorenporträt

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.