|
|
|||
|
||||
OverviewA 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. Full Product DetailsAuthor: Rob Helm , Dick Frase , Martin DayPublisher: Sweet & Maxwell Ltd Imprint: Sweet & Maxwell Edition: New ed. ISBN: 9780414049413ISBN 10: 0414049411 Pages: 366 Publication Date: 23 August 2012 Audience: Professional and scholarly , Professional & Vocational Format: Paperback Publisher's Status: Active Availability: In Print This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us. Table of ContentsReviewsAuthor InformationTab Content 6Author Website:Countries AvailableAll regions |