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Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Financial law > Banking law
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Dealing in Securities: The Law and Regulation of Sales and Trading in Europe (Hardcover)
Loot Price: R6,717
Discovery Miles 67 170
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Dealing in Securities: The Law and Regulation of Sales and Trading in Europe (Hardcover)
Expected to ship within 12 - 17 working days
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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.
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