Wildy logo
(020) 7242 5778
enquiries@wildy.com

Wildy’s Book News

Book News cover photo

Vol 21 No 10 Oct/Nov 2016

Book of the Month

Cover of Criminal Injuries Compensation Claims

Criminal Injuries Compensation Claims

Price: £99.95

Pupillage & Student Offers

Special Discounts for Pupils, Newly Called & Students

Read More ...


Secondhand & Out of Print

Browse Secondhand Online

Read More...


Broker Dealer Operations Under Securities and Commodities Law

Image not available lge

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.

Image not available lge