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Vol 22 No 4 April/May 2017

Book of the Month

Cover of Whistleblowing: Law and Practice

Whistleblowing: Law and Practice

Price: £175.00

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Broker Dealer Operations Under Securities and Commodities Law

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ISBN13: 9780420611307
ISBN: 0420611304
Published: January 1998
Publisher: Sweet & Maxwell Ltd
Format: looseleaf / ring bound
Price: £184.00

Despatched in 5 to 7 days.

This work is a two-volume treatise that zeroes in on crucial ""back-office"" operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.

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