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Record Nr. |
UNINA9910820913603321 |
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Autore |
Nelson Paul |
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Titolo |
Capital markets law and compliance : the implications of MiFID / / Paul Nelson [[electronic resource]] |
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Pubbl/distr/stampa |
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Cambridge : , : Cambridge University Press, , 2008 |
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ISBN |
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1-107-18761-3 |
1-281-24389-2 |
9786611243890 |
0-511-37848-3 |
0-511-37761-4 |
0-511-37667-7 |
0-511-37513-1 |
0-511-49480-7 |
0-511-37935-8 |
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Descrizione fisica |
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1 online resource (xviii, 463 pages) : digital, PDF file(s) |
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Collana |
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Disciplina |
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Soggetti |
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Financial services industry - Law and legislation - Great Britain |
Financial services industry - Law and legislation - European Union countries |
Financial services industry - State supervision - Great Britain |
Securities - Great Britain |
Stockbrokers - Legal status, laws, etc - Great Britain |
Stockbrokers - Legal status, laws, etc - European Union countries |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Title from publisher's bibliographic system (viewed on 08 Oct 2015). |
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Nota di bibliografia |
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Includes bibliographical references (p. 440) and index. |
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Nota di contenuto |
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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. |
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Sommario/riassunto |
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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, |
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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. |
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