Author: Publisher:
ISBN: 9781402407918
Category : Disclosure of information
Languages : en
Pages : 322
Book Description
Coping with Broker/dealer Regulation & Enforcement, 2006
Author: Publisher:
ISBN: 9781402407918
Category : Disclosure of information
Languages : en
Pages : 322
Book Description
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. HungPublisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
Book Description
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224
Book Description
What All Business Lawyers & Litigators Must Know about Delaware Law Developments
Author: U.S. Regulation of the International Securities and Derivatives Markets
Author: Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
Book Description
Coping with Broker/dealer Regulation & Enforcement
Author: Research Handbook on Representative Shareholder Litigation
Author: Sean GriffithPublisher: Edward Elgar Publishing
ISBN: 1786435349
Category : Business & Economics
Languages : en
Pages : 552
Book Description
Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.
Broker-Dealer Law and Regulation, 5th Edition
Author: Poser, Fanto, GrossPublisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Book Description
Dealing in Securities: The Law and Regulation of Sales and Trading in Europe
Author: Christos NifadopoulosPublisher: Bloomsbury Publishing
ISBN: 1526514389
Category : Law
Languages : en
Pages : 191
Book Description
Begins with the essential questions: - whether brokerage and dealing in securities is regulated in a jurisdiction - what aspects of the activity could bring it in scope for authorisation; and - how it is determined which regulator has legal competence to supervise the business in scope. The recent liberalisation of national authorisation regimes across Europe in the wake of MiFID II and Brexit, which has resulted in tensions with recent attempts by the EU to harmonise centrally the single market authorisation regime, is fully addressed. It reviews the details of the activities of sales, sales trading, trading and execution, what they each constitute (with reference to established communication and order management systems), the potential conflicts of interest that they bring about for a firm and how such conflicts can be managed. Each of these activities are mapped against specific regulatory obligations, such as best execution, pre- and post-trade transparency, inducements, dealing commissions rules, the short selling regime and shareholder disclosures, depicting the obligations schematically to assist the practitioner. Also covers: - dealing commission unbundling, which has reformed the way the provision and consumption of independent research and corporate access are related to execution services, - the question of multilateral trading, in other words the point at which the activity of a broker becomes exchange-like and needs to be authorised as such, - principal trading and the ability of firms to advance risk to their clients in the wake of the Volcker rule in the United States and similar legislation in Germany and elsewhere, - the rise of Systematic Internalisers and the constraints imposed on them, such as the pre-trade transparency requirements and the tick size regime, and - electronic trading, algorithmic trading, direct electronic access and high frequency trading, as well as the risk control framework that is relevant to all these activities.