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  3. Capital Markets Law and Compliance
  • Cited by 5
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    • Publisher:
      Cambridge University Press
      Publication date:
      03 December 2009
      10 January 2008
      ISBN:
      9780511494802
      9780521889360
      9781107404663
      DOI:
      https://doi.org/10.1017/CBO9780511494802
      Dimensions:
      (228 x 152 mm)
      Weight & Pages:
      0.892kg, 482 Pages
      Dimensions:
      (229 x 152 mm)
      Weight & Pages:
      0.74kg, 482 Pages
      • Subjects:
      Constitutional and Administrative Law, Law: General Interest, Corporate Law, Law, Private Law
      Series:
      Law Practitioner Series
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    • Selected: Digital
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    Subjects:
    Constitutional and Administrative Law, Law: General Interest, Corporate Law, Law, Private Law
    Series:
    Law Practitioner Series
    Information

    Book 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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