Wildy logo
(020) 7242 5778

Wildy’s Book News

Book News cover photo

Vol 23 No 6 June/July 2018

Book of the Month

Cover of Drafting Commercial Agreements

Drafting Commercial Agreements

Price: £110.00

Offers for Newly Called Barristers & Students

Special Discounts for Newly Called & Students

Read More ...

Secondhand & Out of Print

Browse Secondhand Online


Sealy millman 2018 jp
Desmith out now
Data protection handbook

Regulation of Securities and Futures Dealing

Image not available lge

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.

Image not available lge
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.