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Vol 21 No 11 Nov/Dec 2016

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Regulation of Securities and Futures Dealing

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ISBN13: 9780421462502
ISBN: 0421462507
Published: July 1992
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Hardback
Price: Out of print



Regulation of Securities and Futures Dealing is a detailed analysis and comprehensive commentary on the Securities and Futures Authority's (SFA's) ""new settlement"" rulebook, offering an explanation of the changes. Written from a practical business perspective, rules relevant to a wide range of activities are discussed.

It includes a detailed commentary on SIB's Principles and Core Rules as these form a major part of the new settlement regime applying to SFA firms. There are useful appendices and tables, including suggested models for customer documentation.

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Contents:
New settlement. Rule interpretation. Membership. Application. Customers. Customer agreements. Understanding risk. Credit, margin and default. Suitability. Confirmations and valuations. Dealing. Advertising. Unsolicited calls. Retail products. Conflicts of interest. Market integrity. Safe custody. Client money. Financial supervision. Compliance.