Practitioner's Guide to Conflicts of Interest in the Financial Services Industry
Seiten
2012
Sweet & Maxwell (Verlag)
978-0-414-04941-3 (ISBN)
Sweet & Maxwell (Verlag)
978-0-414-04941-3 (ISBN)
This title examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry.
A Practitioner#s Guide to Conflicts of Interest in the Financial Services Industry examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry.
The book looks firstly at the law in the United Kingdom and gives detailed guidance on how conflicts and potential conflicts should be managed in the context of UK regulation. Given the cross-border nature of the financial services industry, the book then covers the latest EU level developments, and discusses the United States# approach, particularly with regard to the extent to which non-US firms are subject to US regulatory requirements. The implications of the Dodd-Frank Act are also covered.
The text then goes on to cover the situation in certain other jurisdictions including Ireland and Hong Kong, andthe civil law approach with reference to France, Germany and Luxembourg.
A Practitioner#s Guide to Conflicts of Interest in the Financial Services Industry examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry.
The book looks firstly at the law in the United Kingdom and gives detailed guidance on how conflicts and potential conflicts should be managed in the context of UK regulation. Given the cross-border nature of the financial services industry, the book then covers the latest EU level developments, and discusses the United States# approach, particularly with regard to the extent to which non-US firms are subject to US regulatory requirements. The implications of the Dodd-Frank Act are also covered.
The text then goes on to cover the situation in certain other jurisdictions including Ireland and Hong Kong, andthe civil law approach with reference to France, Germany and Luxembourg.
Conflicts of interest in English law: introduction; Specific issues in the United Kingdom#s financial services industry; the UK statutory regulation of conflicts of interest; the management of conflicts of interest; United States approach to conflicts of interest; Financial Regulatory Reform Act of 2010; Duties of investment professionals under United States law; conflicts of interest and their management in Hong Kong; the civil law approach to conflicts of interest and their management; current trends in financial market law and regulation in relation to conflicts of interest.
| Mitarbeit |
Berater: Rob Helm, Dick Frase, Martin Day |
|---|---|
| Verlagsort | London |
| Sprache | englisch |
| Themenwelt | Recht / Steuern ► EU / Internationales Recht |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| ISBN-10 | 0-414-04941-1 / 0414049411 |
| ISBN-13 | 978-0-414-04941-3 / 9780414049413 |
| Zustand | Neuware |
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