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Capital markets law and compliance : the implications of MiFID / / Paul Nelson [[electronic resource]]
| Capital markets law and compliance : the implications of MiFID / / Paul Nelson [[electronic resource]] |
| Autore | Nelson Paul |
| Pubbl/distr/stampa | Cambridge : , : Cambridge University Press, , 2008 |
| Descrizione fisica | 1 online resource (xviii, 463 pages) : digital, PDF file(s) |
| Disciplina | 346.41092 |
| Collana | Law practitioner series |
| Soggetto topico |
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 |
| ISBN |
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 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Altri titoli varianti | Capital Markets Law & Compliance |
| Record Nr. | UNINA-9910451514103321 |
Nelson Paul
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| Cambridge : , : Cambridge University Press, , 2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Capital markets law and compliance : the implications of MiFID / / Paul Nelson [[electronic resource]]
| Capital markets law and compliance : the implications of MiFID / / Paul Nelson [[electronic resource]] |
| Autore | Nelson Paul |
| Pubbl/distr/stampa | Cambridge : , : Cambridge University Press, , 2008 |
| Descrizione fisica | 1 online resource (xviii, 463 pages) : digital, PDF file(s) |
| Disciplina | 346.41092 |
| Collana | Law practitioner series |
| Soggetto topico |
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 |
| ISBN |
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 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Altri titoli varianti | Capital Markets Law & Compliance |
| Record Nr. | UNINA-9910785099403321 |
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Nelson Paul
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| Cambridge : , : Cambridge University Press, , 2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Essential strategies for financial services compliance / / Annie Mills, Peter Haines
| Essential strategies for financial services compliance / / Annie Mills, Peter Haines |
| Autore | Mills Annie |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | Chichester, England : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (527 pages) : illustrations (some color), tables |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
1-118-90618-7
1-119-20807-6 1-118-90619-5 |
| Classificazione | BUS003000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The UK regulatory enviroment -- The compliance function -- The compliance contract -- Mapping your compliance universe -- Mapping your corporate universe -- Regulators and other industry bodies -- The legislative environment and rules mapping -- Financial products, services, and documentation -- Compliance outside the compliance department -- Key compliance department activities -- Comply or die : when things go wrong. |
| Record Nr. | UNINA-9910208944903321 |
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Mills Annie
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||
| Chichester, England : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Essential strategies for financial services compliance / / Annie Mills, Peter Haines
| Essential strategies for financial services compliance / / Annie Mills, Peter Haines |
| Autore | Mills Annie |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | Chichester, England : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (527 pages) : illustrations (some color), tables |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
1-118-90618-7
1-119-20807-6 1-118-90619-5 |
| Classificazione | BUS003000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The UK regulatory enviroment -- The compliance function -- The compliance contract -- Mapping your compliance universe -- Mapping your corporate universe -- Regulators and other industry bodies -- The legislative environment and rules mapping -- Financial products, services, and documentation -- Compliance outside the compliance department -- Key compliance department activities -- Comply or die : when things go wrong. |
| Record Nr. | UNINA-9910818629103321 |
|
Mills Annie
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||
| Chichester, England : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Essential strategies for financial services compliance [[electronic resource] /] / Annie Mills
| Essential strategies for financial services compliance [[electronic resource] /] / Annie Mills |
| Autore | Mills Annie |
| Pubbl/distr/stampa | Chichester, England ; ; Hoboken, NJ, : J. Wiley, c2008 |
| Descrizione fisica | 1 online resource (378 p.) |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
0-470-69938-8
1-282-54865-4 9786612548659 0-470-69991-4 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto |
Essential Strategies for Financial Services Compliance; Contents; Acknowledgements; List of Abbreviations; Preface (Or, How Not to be an Execution Officer); Foreword; PART I COMMENTARY AND CONTEXT; 1 The UK Regulatory Environment; 2 The Compliance Function; 3 The Compliance Contract; 4 Mapping Your Compliance Universe; 5 Mapping Your Corporate Universe; 6 Regulators and Other Industry Bodies; 7 The Legislative Environment and Rules Mapping; 8 Financial Products, Services and Documentation; 9 Compliance Outside the Compliance Department; 10 Key Compliance Department Activities
11 Comply or Die - When Things go Wrong APPENDICES; A Routine Compliance Activities; B Routine Anti-Money Laundering Activities; C Compliance in the Front Office; D Compliance for Senior Management, the Back Office and Other Support Departments; E Compliance Conundrums - What Would You Do?; PART II COMPLIANCE PERSPECTIVES; Box 1: Acting on Principle; Box 2: ARROW; Box 3: Basel II and CRD; Box 4: Extradition; Box 5: Financial Services Action Plan; Box 6: Going Global?; Box 7: Industry Guidance; Box 8: L&G v. the FSA - Who are the real winners and losers? Box 9: Markets in Financial Instruments Directive Box 10: Money Laundering Statistics; Box 11: Prudential Regulation of Capital Adequacy; Box 12: The Enforcement Process - Getting on the wrong side of the FSA; Box 13: The Lamfalussy Process; Box 14: The Laundering Process; Box 15: Treating Customers Fairly; Index |
| Record Nr. | UNINA-9910792418903321 |
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Mills Annie
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| Chichester, England ; ; Hoboken, NJ, : J. Wiley, c2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Implementing financial regulation [[electronic resource] ] : theory and practice / / Joanna Gray and Jenny Hamilton
| Implementing financial regulation [[electronic resource] ] : theory and practice / / Joanna Gray and Jenny Hamilton |
| Autore | Gray Joanna, L. L .B. |
| Pubbl/distr/stampa | Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 |
| Descrizione fisica | 1 online resource (287 p.) |
| Disciplina |
346.41/082
346.4108 |
| Altri autori (Persone) | HamiltonJenny <1957-> |
| Collana | Wiley finance |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Financial services industry - State supervision - Great Britain Financial services industry - Great Britain |
| Soggetto genere / forma | Electronic books. |
| ISBN |
1-119-20711-8
1-280-44913-6 9786610449132 0-470-86930-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Implementing Financial Regulation; Contents; Preface; Acknowledgements; 1 Regulation in Context; 2 Aligning Risk and Regulation: FSA's Risk-Based Operating Framework; 3 Regulation within the Regulated Firm: Legislation and Rules; 4 Senior Management Regulation: Evidence and Practice Since N2; 5 The Wider Regulatory and Legal Context for Senior Management; 6 Regulation and the Emergence of the Financial Citizen; 7 An Illustrated Critique of Meta Regulation and Concluding Comments; Index |
| Record Nr. | UNINA-9910143554903321 |
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Gray Joanna, L. L .B.
|
||
| Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Implementing financial regulation [[electronic resource] ] : theory and practice / / Joanna Gray and Jenny Hamilton
| Implementing financial regulation [[electronic resource] ] : theory and practice / / Joanna Gray and Jenny Hamilton |
| Autore | Gray Joanna, L. L .B. |
| Pubbl/distr/stampa | Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 |
| Descrizione fisica | 1 online resource (287 p.) |
| Disciplina |
346.41/082
346.4108 |
| Altri autori (Persone) | HamiltonJenny <1957-> |
| Collana | Wiley finance |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Financial services industry - State supervision - Great Britain Financial services industry - Great Britain |
| ISBN |
1-119-20711-8
1-280-44913-6 9786610449132 0-470-86930-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Implementing Financial Regulation; Contents; Preface; Acknowledgements; 1 Regulation in Context; 2 Aligning Risk and Regulation: FSA's Risk-Based Operating Framework; 3 Regulation within the Regulated Firm: Legislation and Rules; 4 Senior Management Regulation: Evidence and Practice Since N2; 5 The Wider Regulatory and Legal Context for Senior Management; 6 Regulation and the Emergence of the Financial Citizen; 7 An Illustrated Critique of Meta Regulation and Concluding Comments; Index |
| Record Nr. | UNINA-9910829820203321 |
|
Gray Joanna, L. L .B.
|
||
| Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Implementing financial regulation : theory and practice / / Joanna Gray and Jenny Hamilton
| Implementing financial regulation : theory and practice / / Joanna Gray and Jenny Hamilton |
| Autore | Gray Joanna, L. L .B. |
| Pubbl/distr/stampa | Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 |
| Descrizione fisica | 1 online resource (287 p.) |
| Disciplina |
346.41/082
346.4108 |
| Altri autori (Persone) | HamiltonJenny <1957-> |
| Collana | Wiley finance |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Financial services industry - State supervision - Great Britain Financial services industry - Great Britain |
| ISBN |
1-119-20711-8
1-280-44913-6 9786610449132 0-470-86930-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Implementing Financial Regulation; Contents; Preface; Acknowledgements; 1 Regulation in Context; 2 Aligning Risk and Regulation: FSA's Risk-Based Operating Framework; 3 Regulation within the Regulated Firm: Legislation and Rules; 4 Senior Management Regulation: Evidence and Practice Since N2; 5 The Wider Regulatory and Legal Context for Senior Management; 6 Regulation and the Emergence of the Financial Citizen; 7 An Illustrated Critique of Meta Regulation and Concluding Comments; Index |
| Record Nr. | UNINA-9910876559503321 |
|
Gray Joanna, L. L .B.
|
||
| Chichester, England ; ; Hoboken, NJ, : John Wiley & Sons, c2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Regulating financial services and markets in the twenty first century / edited by Eilis Ferran and Charles A.E. Goodhart
| Regulating financial services and markets in the twenty first century / edited by Eilis Ferran and Charles A.E. Goodhart |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | Oxford ; Portland, Oregon, : Hart Publishing, 2001 |
| Descrizione fisica | 1 online resource (356 p.) |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Financial institutions - Law and legislation - Great Britain Securities industry - Law and legislation - Great Britain Investments - Law and legislation - Great Britain |
| Soggetto genere / forma | Electronic books. |
| ISBN |
1-4725-5912-6
1-280-80060-7 9786610800605 1-84731-169-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | GENERAL OVERVIEW -- 1. Regulating Financial Services and Markets in the Twenty First Century: An Overview -- Eilís Ferran and Charles A.E. Goodhart -- 2. Reforming Financial Regulation: Progress and Priorities -- Howard Davies -- OBJECTIVES AND PRINCIPLES -- 3. Regulatory Principles and the Financial Services and Markets Act 2000 -- Colin Mayer -- 4. Examining the Objectives of Financial Regulation-Will the New Regime Succeed? A Practitioner's View -- Amelia C. Fawcett -- 5. Incentive v. Rule-Based Financial Regulation: A Role for Market Discipline -- Rahul Dhumale -- REGULATION OF SENIOR MANAGEMENT -- 6. Directors' Fiduciary Duties and the Approved Persons Regime -- Colin Bamford -- 7. Fiduciary Duties, Regulation of Companies and Regulation of Individuals -- Sir Adam Ridley -- DISCIPLINE, ENFORCEMENT AND HUMAN RIGHTS -- 8. Regulatory Discipline and the European Convention on Human Rights-A Reality Check -- Daniel F. Waters and Martyn Hopper -- 9. Holding the Balance-Effective Enforcement, Procedural Fairness and Human Rights -- Thomas A.G. Beazley -- ACCOUNTABILITY -- 10. Regulating the Regulator-A Lawyer's Perspective on Accountability and Control -- Alan Page -- 11. Regulating the Regulator-An Economist's Perspective on Accountability and Control -- Charles A.E. Goodhart -- 12. Public Accountability in the Financial Sector -- Rosa M. Lastra and Heba Shams -- EUROPEAN REGULATION -- 13. Regulating European Markets: The Harmonisation of Securities Regulation in Europe in the New Trading Environment -- Eddy Wymeersch -- 14. The Case for a European Securities Commission -- Gilles Thieffry -- INTERNATIONAL REGULATION -- 15. New Issues in International Financial Regulation -- John Eatwell -- 16. The Financial Stability Forum (FSF): Just Another Acronym? -- Andrew G. Haldane -- 17. The Need for Efficient International Financial Regulation and the Role of a Global Supervisor -- Kern Alexander -- ROLE OF RATING AGENCIES -- 18. The Role of Rating Agencies in Global Market Regulation -- Steven L. Schwarcz -- 19. The Role of Credit Rating Agencies in the Establishment of Capital Standards for Financial Institutions in a Global Economy -- Howell E. Jackson -- TECHNOLOGICAL CHANGE AND REGULATION -- 20. The Challenge of Technology-Regulation of Electronic Financial Markets |
| Record Nr. | UNINA-9910451414103321 |
| Oxford ; Portland, Oregon, : Hart Publishing, 2001 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Regulating financial services and markets in the twenty first century / edited by Eilis Ferran and Charles A.E. Goodhart
| Regulating financial services and markets in the twenty first century / edited by Eilis Ferran and Charles A.E. Goodhart |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | Oxford ; Portland, Oregon, : Hart Publishing, 2001 |
| Descrizione fisica | 1 online resource (356 p.) |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Financial institutions - Law and legislation - Great Britain Securities industry - Law and legislation - Great Britain Investments - Law and legislation - Great Britain |
| ISBN |
1-4725-5912-6
1-280-80060-7 9786610800605 1-84731-169-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | GENERAL OVERVIEW -- 1. Regulating Financial Services and Markets in the Twenty First Century: An Overview -- Eilís Ferran and Charles A.E. Goodhart -- 2. Reforming Financial Regulation: Progress and Priorities -- Howard Davies -- OBJECTIVES AND PRINCIPLES -- 3. Regulatory Principles and the Financial Services and Markets Act 2000 -- Colin Mayer -- 4. Examining the Objectives of Financial Regulation-Will the New Regime Succeed? A Practitioner's View -- Amelia C. Fawcett -- 5. Incentive v. Rule-Based Financial Regulation: A Role for Market Discipline -- Rahul Dhumale -- REGULATION OF SENIOR MANAGEMENT -- 6. Directors' Fiduciary Duties and the Approved Persons Regime -- Colin Bamford -- 7. Fiduciary Duties, Regulation of Companies and Regulation of Individuals -- Sir Adam Ridley -- DISCIPLINE, ENFORCEMENT AND HUMAN RIGHTS -- 8. Regulatory Discipline and the European Convention on Human Rights-A Reality Check -- Daniel F. Waters and Martyn Hopper -- 9. Holding the Balance-Effective Enforcement, Procedural Fairness and Human Rights -- Thomas A.G. Beazley -- ACCOUNTABILITY -- 10. Regulating the Regulator-A Lawyer's Perspective on Accountability and Control -- Alan Page -- 11. Regulating the Regulator-An Economist's Perspective on Accountability and Control -- Charles A.E. Goodhart -- 12. Public Accountability in the Financial Sector -- Rosa M. Lastra and Heba Shams -- EUROPEAN REGULATION -- 13. Regulating European Markets: The Harmonisation of Securities Regulation in Europe in the New Trading Environment -- Eddy Wymeersch -- 14. The Case for a European Securities Commission -- Gilles Thieffry -- INTERNATIONAL REGULATION -- 15. New Issues in International Financial Regulation -- John Eatwell -- 16. The Financial Stability Forum (FSF): Just Another Acronym? -- Andrew G. Haldane -- 17. The Need for Efficient International Financial Regulation and the Role of a Global Supervisor -- Kern Alexander -- ROLE OF RATING AGENCIES -- 18. The Role of Rating Agencies in Global Market Regulation -- Steven L. Schwarcz -- 19. The Role of Credit Rating Agencies in the Establishment of Capital Standards for Financial Institutions in a Global Economy -- Howell E. Jackson -- TECHNOLOGICAL CHANGE AND REGULATION -- 20. The Challenge of Technology-Regulation of Electronic Financial Markets |
| Record Nr. | UNINA-9910784259203321 |
| Oxford ; Portland, Oregon, : Hart Publishing, 2001 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Soggetto topico
-
Financial services industry - Law and legislation - Great Britain
(11)
- Financial services industry - State supervision - Great Britain (5)
- Corporate governance - Law and legislation - Great Britain (3)
- Ethics and compliance officers - Great Britain (3)
- Financial services industry - Great Britain (3)