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Vol 21 No 11 Nov/Dec 2016

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Cover of Criminal Injuries Compensation Claims

Criminal Injuries Compensation Claims

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Compliance Im Wertpapierdienst-Leistungskonzern

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ISBN13: 9783899490466
ISBN: 3899490460
Published: April 2003
Publisher: Walter de Gruyter & Co
Format: Hardback
Price: £118.00



Credit and financial services institutions are obliged to ensure that laws, regulations and practices in securities operations are abided by, especially conflicts of interest are avoided and insider information are not disclosed dishonestly - summarized under the term Compliance according to article 33 section 1 1WpHG (German Securities Trading Law). The author answers questions resulting from this obligation with a dogmatic foundation and makes fundamental proposals for contemporary Compliance practice.

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