By Paul Nelson
The Markets in monetary tools Directive (MiFID) is a close re-writing of the legislation of capital markets. To the level these principles enable, the monetary prone Authority (FSA) is usually introducing high-level 'principles-based regulation'. according to this, Paul Nelson provides sensible suggestions at the law of the capital markets, starting from new matters and IPOs to funding banking, broker-dealing and asset administration. All legislation and ideas appropriate to the legislation of the capital markets are defined and positioned into context in the fiscal operation of markets, associations and items, the eu unmarried marketplace, the FSA's rules and targets, the historic evolution of the rules and the overall civil and legal legislation. Drawing on 30 years' adventure as a practitioner, and concerning an unlimited variety of helping fabrics, the writer offers an insightful research and critique of the principles, the rule of thumb makers and the associations.
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Additional info for Capital markets law and compliance : the implications of MiFID
HMT PN 98/99, 17 June 1999. City regulation farce threatens to turn into tragedy, FT, 2 April 2000. 97 A Blurred Outlook, FT, 30 May 1997. Act in Haste, The Times, 21 May 1997. Regulation back in the melting pot, The Times, 21 May 1997. Philip Thorpe, CEO IMRO, quoted in Super-SIB will face problems warns IMRO, The 100 Independent, 2 July 1997. Joint Committee Report, Vol. II, App. 13, para. 425. HMT PR/144/01. FSMA and the single market • an annual report to the Treasury on how we have carried out our functions and met our .
President of the Board of Trade when introducing the Bill into Parliament in 1939, 18 Bodkin Report, para. 75. quoted in the Scott Report, para. 209. Licensed Dealers in Securities: Draft Rules, September 1982, Department of Trade, para. 11(ii). The reason the Department was able to do this was that the PFI stated that the exemption did not ‘authoris[e] any person to hold himself out as carrying on the business of dealing in securities’ (1939 PFI 2(2), tailpiece) and ‘dealing in securities’ included 20 21 ‘oﬀering’ and ‘inducing’.
5. 12 Ibid, para. 4. 13 Ibid, para. 76. FSMA and the single market We came to the conclusion that . . scheme  . . was not one which we could recommend. The two principal reasons . . were, ﬁrst, the diﬃculty of obtaining the services of suitable personnel for the Registration Authority and, secondly, the practical impossibility of the Authority carrying out the duties to be assigned to them . . The Committee of Authority which exist in various professions and occupations . . are . . the outcome of some pre-existing voluntary association and consist of persons representative of those who are carrying on a well-recognised activity in which there has evolved a code of conduct and practice, but a Registration Authority of [this type] .