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

Description: FREE SHIPPING UK WIDE Dealing in Securities: The Law and Regulation of Sales and Trading in Europe by Mr Christos Nifadopoulos 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. FORMAT Hardcover LANGUAGE English CONDITION Brand New 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. Table of Contents 1 Introduction2 Authorising and regulating securities dealing in Europe3 Dealing in securities and the primary obligations4 Market abuse regime in Europe5 Dealing commissions and the unbundling challenge6 Multilateral and bilateral trading systems7 Mandatory trading obligations8 Electronic trading9 Best execution10 The future of market structure in Europe Review Essential reading. Highly recommend this unique and much needed work. -- Global Chief Compliance Officer - Optiver * Nicola Garrood * Promotional Examines the intricacies of dealing in securities and the impact these have on the legal and regulatory obligations of firms and individuals. Review Quote Essential reading. Highly recommend this unique and much needed work. Promotional "Headline" Examines the intricacies of dealing in securities and the impact these have on the legal and regulatory obligations of firms and individuals. Feature Authority - the author is senior counsel in the Legal Department of Goldman Sachs and heads the Equities Sales andTrading Legal Group in EMEA Details ISBN1526514362 Language English Year 2021 ISBN-10 1526514362 ISBN-13 9781526514363 Format Hardcover Imprint Bloomsbury Professional Place of Publication London Country of Publication United Kingdom NZ Release Date 2021-11-30 UK Release Date 2021-11-30 Author Mr Christos Nifadopoulos Pages 192 Publisher Bloomsbury Publishing PLC Publication Date 2021-11-30 DEWEY 346.240922 Audience Professional & Vocational AU Release Date 2022-01-12 We've got this At The Nile, if you're looking for it, we've got it. With fast shipping, low prices, friendly service and well over a million items - you're bound to find what you want, at a price you'll love! 30 DAY RETURN POLICY No questions asked, 30 day returns! FREE DELIVERY No matter where you are in the UK, delivery is free. SECURE PAYMENT Peace of mind by paying through PayPal and eBay Buyer Protection TheNile_Item_ID:161574516;

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