Dealing in Securities: The Law and Regulation of Sales and Trading in Europe by

Description: Dealing in Securities: The Law and Regulation of Sales and Trading in Europe by Mr Christos Nifadopoulos Estimated delivery 3-12 business days Format Hardcover Condition Brand New 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.This title is included in Bloomsbury Professionals Banking and Finance online service. Author Biography Christos Nifadopoulos is Group General Counsel at Rokos Capital Management, heading up the Legal and Compliance functions. Until 2021 he was Managing Director and Senior Counsel in the Legal Department of Goldman Sachs and headed the Equities Sales and Trading and Derivatives Legal Group in EMEA. He also had legal oversight of Global Investment Research of GS in EMEA and served as counsel to several committees of the firm. Details ISBN 1526514362 ISBN-13 9781526514363 Title Dealing in Securities: The Law and Regulation of Sales and Trading in Europe Author Mr Christos Nifadopoulos Format Hardcover Year 2021 Pages 192 Publisher Bloomsbury Publishing PLC GE_Item_ID:161574516; About Us Grand Eagle Retail is the ideal place for all your shopping needs! With fast shipping, low prices, friendly service and over 1,000,000 in stock items - you're bound to find what you want, at a price you'll love! Shipping & Delivery Times Shipping is FREE to any address in USA. Please view eBay estimated delivery times at the top of the listing. Deliveries are made by either USPS or Courier. We are unable to deliver faster than stated. International deliveries will take 1-6 weeks. NOTE: We are unable to offer combined shipping for multiple items purchased. This is because our items are shipped from different locations. Returns If you wish to return an item, please consult our Returns Policy as below: Please contact Customer Services and request "Return Authorisation" before you send your item back to us. Unauthorised returns will not be accepted. Returns must be postmarked within 4 business days of authorisation and must be in resellable condition. Returns are shipped at the customer's risk. We cannot take responsibility for items which are lost or damaged in transit. For purchases where a shipping charge was paid, there will be no refund of the original shipping charge. Additional Questions If you have any questions please feel free to Contact Us. Categories Baby Books Electronics Fashion Games Health & Beauty Home, Garden & Pets Movies Music Sports & Outdoors Toys

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End Time: 2024-12-13T06:47:01.000Z

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