内容

目次

Part I. Evolution of Capital Markets Regulation, FSA and the EuropeanSingle Market: 1. Introduction; 2. FSMA and the single market; Part II.Licensing and Rule Application: 3. Licensing; 4. The application of FSA MiFIDRules; Part III. The Firm's Infrastructure: 5. Systems and controls; 6.Conflicts of interest; 7. Client property; Part IV. Conduct of Business: 8.Client classification and client documentation; 9. Principles of conduct; 10.Marketing investments; 11. Advising clients; 12. Improper behaviour indealing and executing orders; 13. Dealing and executing orders; 14. Exchangesand MTFs; Part V. Application of MiFID to Particular Businesses: 15.Corporate finance; 16. Broker-dealers; 17. Asset managers; 18. Trustees; 19.Retail intermediaries.