内容

目次

Part 1 - Summaries and background 1. The topic 2. World financial regulation in two pages 3. Financial assets and banks 4 Scope and policies of financial regulation 5. UK, US and EU sources of law and regulators 6. History and prophecy 7. Comparison of regulatory regimes Part 2 - Classes of business 8. Authorisation of banks and securities firms 9. Banking 10. Recast Bank Directive 2013/36 (CRD 4) 11. Restrictions on non-banking activities; conglomerates 12. Bankers remuneration 13. Securities firms 14. Markets in Financial Instruments Directive 2014 (Mifid 2) 15. Broker-dealers; arrangers Broker dealers in investments 16. Investment portfolio management 17. Custodian of investments 18. Investment advisers 19. Derivatives and the European Market Infrastructure Regulation 2010 (Emir) 20. Exchanges and financial markets 21. Markets in Financial Instruments Regulation 2014 (Mifir) 22. Payment and securities settlement systems 23. Payment Services and E Money Directives 24. Collective investment schemes 25. Recast Undertakings for Collective Investment in Transferable Securities Directive 2009 (Ucits 4) 26. Hedge funds and private equity funds; AIFMD 27. Securitisations 28. Consumer protection Part 3- Conduct of business 29. Conduct of business 30. Conflicts of Interest 31. Client assets and trusts 32. Collateral and securities financing transactions Part 4 - Prospectuses 33. Prospectus requirements 34. Prospectus Regulation 2017 35. Prospectus l