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Vol 21 No 11 Nov/Dec 2016

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Capital Markets Law and Compliance: The Implications of MiFID


ISBN13: 9781107404663
Published: July 2012
Publisher: Cambridge University Press
Country of Publication: UK
Format: Paperback (Hardback in 2008)
Price: £44.99
Hardback edition , ISBN13 9780521889360



This is a Print On Demand Title.
The publisher will print a copy to fulfill your order. Books can take between 1 to 3 weeks. Looseleaf titles between 1 to 2 weeks.

This book was first published in 2008. 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.

Subjects:
Banking and Finance
Contents:
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.

Series: Cambridge Law Practitioner

Electronic Signatures in Law 3rd ed ISBN 9781107012295
Published January 2012
Cambridge University Press
£145.00
Cross-Border Mergers in Europe: Volume 2 ISBN 9780521487603
Published September 2011
Cambridge University Press
£110.00
Cross-Border Mergers in Europe: 2 Volume Hardback Set ISBN 9780521191661
Published September 2011
Cambridge University Press
£210.00
Good Governance for Pension Schemes ISBN 9780521761611
Published July 2011
Cambridge University Press
£110.00
Settlement of Investor-State Disputes under the Energy Charter Treaty ISBN 9780521899383
Published April 2011
Cambridge University Press
£89.99
Cross-Border Mergers in Europe: Volume 1 ISBN 9780521483278
Published March 2010
Cambridge University Press
£110.00
A Practical Guide to Private Equity Transactions ISBN 9780521193115
Published February 2010
Cambridge University Press
£105.00
Prospectus for the Public Offering of Securities in Europe: Volume 2 ISBN 9780521880718
Published May 2009
Cambridge University Press
£110.00
Accounting Principles for Non-Executive Directors ISBN 9780521509787
Published February 2009
Cambridge University Press
£110.00
The Law of Charitable Status: Maintenance and Removal ISBN 9780521516037
Published November 2008
Cambridge University Press
£99.99
Bundled Set: The European Company: Volumes 1 and 2 ISBN 9780521897617
Published June 2008
Cambridge University Press
£210.00
Prospectus for the Public Offering of Securities in Europe: Volume 1 ISBN 9780521880701
Published April 2008
Cambridge University Press
£110.00
The European Company: Volume II ISBN 9780521860000
Published March 2008
Cambridge University Press
£110.00
Capital Markets Law and Compliance: The Implications of MiFID ISBN 9780521889360
Published November 2007
Cambridge University Press
£115.00
The European Company: Volume 1 ISBN 9780521859745
Published June 2006
Cambridge University Press
£110.00
Stamp Duty Land Tax 2nd ed ISBN 9780521606325
Published February 2006
Cambridge University Press
£135.00
Accounting Principles for Lawyers ISBN 9780521607223
Published February 2006
Cambridge University Press
£105.00
Stamp Duty Land Tax 3rd ed ISBN 9780521518659

Cambridge University Press
Publication Abandoned