Capital Markets Law and Compliance

Description

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.

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1. Ebooks list page : 3507
2. Capital Markets Law and Compliance
3. Capital Markets Law and Compliance: The Implications of MiFID
4. MDDL and the Quest for a Market Data Standard: Explanation, Rationale, and Implementation (Elsevier World Capital Markets) (The Elsevier and Mondo Visione World Capital Markets)
5. Market Data Explained: A Practical Guide to Global Capital Markets Information. (The Elsevier and Mondo Visione World Capital M
6. Understanding the Markets (Securities Institute Global Capital Markets Series)
7. Medieval Capital Markets. Markets for renten, State Formation and Private Investment in Holland (1300-1550)
8. Debt Capital Markets in China
9. Trading Strategies for Capital Markets
10. Subnational Capital Markets in Developing Countries
11. Capital Markets, Globalization, and Economic Development
12. Trading and Capital-Markets Activities Manual
13. Trading Stategies for Capital Markets (Reupload)
14. Capital Markets, Globalization, and Economic Development
15. Financial Reporting and Global Capital Markets
16. The Future of Domestic Capital Markets in Developing Countries