Capital Markets Law and Compliance: The Implications of MiFID

ISBN: 9781107404663 出版年：2008 页码：483 Nelson Cambridge University Press

Part I. Evolution of Capital Markets Regulation, FSA and the European Single Market: 1. Introduction 2. FSMA and the single market Part II. Licensing and Rule Application: 3. Licensing 4. The application of FSA MiFID Rules Part III. The Firm's Infrastructure: 5. Systems and controls 6. Conflicts of interest 7. Client property Part IV. Conduct of Business: 8. Client classification and client documentation 9. Principles of conduct 10. Marketing investments 11. Advising clients 12. Improper behaviour in dealing and executing orders 13. Dealing and executing orders 14. Exchanges and MTFs Part V. Application of MiFID to Particular Businesses: 15. Corporate finance 16. Broker-dealers 17. Asset managers 18. Trustees 19. Retail intermediaries.