Bibliograph

Capital markets law and compliance, the implications of MiFID, Paul Nelson

Type

Label

Capital markets law and compliance, the implications of MiFID, Paul Nelson

Language

eng

Index

index present

Literary Form

non fiction

Main title

Capital markets law and compliance

Nature of contents

dictionaries

Responsibility statement

Paul Nelson

Series statement

Law practitioner series

Sub title

the implications of MiFID

Summary

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

Table Of Contents

Evolution of capital markets regulations, FSA and the European single market -- Licensing and rule application -- The firm's infrastructure -- Conduct of business -- Application of rules to particular businesses

resource.variantTitle

Capital Markets Law & Compliance

Classification