Dealing in securities : (Record no. 10956)
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| 000 -LEADER | |
|---|---|
| fixed length control field | 04653nam a2200505 i 4500 |
| 001 - CONTROL NUMBER | |
| control field | 9781526514394 |
| 003 - CONTROL NUMBER IDENTIFIER | |
| control field | CaBNVSL |
| 005 - DATE AND TIME OF LATEST TRANSACTION | |
| control field | 20240402115623.0 |
| 006 - FIXED-LENGTH DATA ELEMENTS--ADDITIONAL MATERIAL CHARACTERISTICS | |
| fixed length control field | m o d |
| 007 - PHYSICAL DESCRIPTION FIXED FIELD--GENERAL INFORMATION | |
| fixed length control field | cr cn||||||||| |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION | |
| fixed length control field | 211028s2021 enk ob 100 0 eng d |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| International Standard Book Number | 9781526514394 |
| Qualifying information | (ebook) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| Canceled/invalid ISBN | 9781526514387 |
| Qualifying information | (PDF) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| Canceled/invalid ISBN | 9781526514363 |
| Qualifying information | (hardback) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| Canceled/invalid ISBN | 1526514362 |
| Qualifying information | (print) |
| 024 7# - OTHER STANDARD IDENTIFIER | |
| Standard number or code | 10.5040/9781526514394 |
| Source of number or code | doi |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (OCoLC)1281197970 |
| 040 ## - CATALOGING SOURCE | |
| Original cataloging agency | CaBNVSL |
| Language of cataloging | eng |
| Description conventions | rda |
| Transcribing agency | CaBNVSL |
| Modifying agency | CaBNVSL |
| 043 ## - GEOGRAPHIC AREA CODE | |
| Geographic area code | e------ |
| 050 #4 - LIBRARY OF CONGRESS CALL NUMBER | |
| Classification number | K1331 |
| Item number | N53 2021eb |
| 082 04 - DEWEY DECIMAL CLASSIFICATION NUMBER | |
| Classification number | 346.240922 |
| Edition number | 23 |
| 100 1# - MAIN ENTRY--PERSONAL NAME | |
| Personal name | Nifadopoulos, Christos, |
| Relator term | author |
| 245 10 - TITLE STATEMENT | |
| Title | Dealing in securities : |
| Remainder of title | the law and regulation of sales and trading in Europe / |
| Statement of responsibility, etc. | Christos Nifadopoulos. |
| 250 ## - EDITION STATEMENT | |
| Edition statement | First edition. |
| 264 #1 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Place of production, publication, distribution, manufacture | [London, England] : |
| Name of producer, publisher, distributor, manufacturer | Bloomsbury Professional, |
| Date of production, publication, distribution, manufacture, or copyright notice | 2021. |
| 264 #2 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Place of production, publication, distribution, manufacture | [London, England] : |
| Name of producer, publisher, distributor, manufacturer | Bloomsbury Publishing, |
| Date of production, publication, distribution, manufacture, or copyright notice | 2021 |
| 300 ## - PHYSICAL DESCRIPTION | |
| Extent | 1 online resource (440 pages). |
| 336 ## - CONTENT TYPE | |
| Content type term | text |
| Source | rdacontent |
| 337 ## - MEDIA TYPE | |
| Media type term | computer |
| Source | rdamedia |
| 338 ## - CARRIER TYPE | |
| Carrier type term | online resource |
| Source | rdacarrier |
| 505 0# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | Chapter 1: Introduction -- Chapter 2: Authorising and Regulating Securities Dealing in Europe -- Chapter 3: Dealing in Securities and Primary Obligations -- Chapter 4: Market Abuse Regime in the EU -- Chapter 5: Insight: The Controversy on Dealing COmmissions and Unbundling -- Chapter 6: Insight: Multilateral and Bilateral Trading Systems -- Chapter 7: Mandatory Trading Obligations -- Chapter 8: Principal Trading - The Concept of Risk -- Chapter 9: Electronic Trading -- Chapter 10: Best Execution -- Chapter 11: Conclusions |
| 506 ## - RESTRICTIONS ON ACCESS NOTE | |
| Terms governing access | Abstract freely available; full-text restricted to individual document purchasers. |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | "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."-- |
| Assigning source | Provided by publisher. |
| 530 ## - ADDITIONAL PHYSICAL FORM AVAILABLE NOTE | |
| Additional physical form available note | Also published in print. |
| 532 0# - ACCESSIBILITY NOTE | |
| Summary of accessibility | Compliant with Level AA of the Web Content Accessibility Guidelines. Content is displayed as HTML full text which can easily be resized or read with assistive technology, with mark-up that allows screen readers and keyboard-only users to navigate easily |
| 538 ## - SYSTEM DETAILS NOTE | |
| System details note | Mode of access: World Wide Web. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Securities |
| Geographic subdivision | European Economic Community countries. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Securities |
| General subdivision | Law and legislation |
| Geographic subdivision | European Economic Community countries. |
| 650 #7 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Law,Banking law,International finance |
| Source of heading or term | bicssc |
| 655 #0 - INDEX TERM--GENRE/FORM | |
| Genre/form data or focus term | Electronic books. |
| 776 08 - ADDITIONAL PHYSICAL FORM ENTRY | |
| Relationship information | Print version: |
| International Standard Book Number | 9781526514363 |
| 856 40 - ELECTRONIC LOCATION AND ACCESS | |
| Materials specified | Abstract with links to full text |
| Uniform Resource Identifier | <a href="https://doi.org/10.5040/9781526514394?locatt=label:secondary_bloomsburyCollections">https://doi.org/10.5040/9781526514394?locatt=label:secondary_bloomsburyCollections</a> |
| 975 ## - | |
| -- | Bloomsbury Professional Law 2021 |
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