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Vol 21 No 10 Oct/Nov 2016

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The Regulation of Investment Services in Europe under MiFID: Implementation and Practice

Edited by: Emilios Avgouleas

ISBN13: 9781847660824
Published: January 2008
Publisher: Bloomsbury Professional
Country of Publication: UK
Format: Paperback, A4
Price: £325.00



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Written by leading legal and industry practitioners and regulators from across the EU this new title offers detailed information about the application and enforcement of MiFID’s rules. This Special Report provides comprehensive, authoritative, and practical analysis and guidance of the new EU regime for the regulation of financial services, following the implementation in the Member States of the Markets in Financial Instruments Directive 2004 (MiFID) and its implementing measures (the MiFID regime).

This book provides detailed analysis of key areas including:

  • Transparency Obligations of Regulated Markets, MTFs, and Systematic Internalisers
  • New codes of conduct for EU investment services firms, including client classification
  • New best execution rules
  • Internal organisation of investment services firms
  • Conflicts of interest
  • Regulation of outsourcing
  • New tied agents’ regime

Subjects:
Banking and Finance
Contents:
* The Impact of MiFID on Businesses and Business * Processes * Licensing and Cross-border Supervision of Investment Firms * The MiFID Regime for Trading Venues: Regulated Markets, Multilateral Trading Facilities, and Systematic Internalisers * The Investor Protection Obligations of Investment Firms under MiFID * The Internal Organisation of Investment Firms under MiFID * The MiFID Rules on Cross-border Access to Clearing and Settlement Systems