The New U.K. Securities Legislation and the E.C. 1992 Program, Volume 142Paperback. The concerns of this book are the new environment in the European Capital Markets after the substantial deregulation and internationalization that has recently taken place, and the reregulation of these markets, particularly after the Big Bang in the U.K. and now also at E.C. level.The U.K. has frequently been in the forefront of new developments in Western Europe regarding the area of banking supervision and recently in the supervision of securities activities. Although it has not always immediately found the most effective solutions, its endeavours in these difficult areas are inevitably of great interest and bound to have considerable influence elsewhere. |
Contents
CAPITAL ADEQUACY SEGREGATION OF CLIENT MONEY AND | 79 |
AUTHORISATION AND CONDUCT OF BUSINESS RULES STABILISATION | 97 |
LISTING AND PROSPECTUS | 118 |
Copyright | |
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activities agent amended Amsterdam Stock Exchange approach assets authorisation Bank of England Banking Directive Big Bang bonds brokers business rules capital adequacy Chapter clear cold calling Commission companies concerned conduct of business cost Council Directive counterparty covered currency customers developments disclosure domestic duty E.C. countries E.C. Directives effective equity eurobond eurobond market European exemption Financial Services Act firm free movement funds further home country industry insider dealing insider trading interest intermediaries investors issuer issues liability liberalisation limited liquidity London London Stock Exchange market makers ment monetary Netherlands notably operations organised persons principle professional proposals prospectus Prospectus Directive protection reciprocity recognised regime regulation regulatory requirements restrictions risk securities business securities houses SIB rules SIB/TSA sro's stabilisation Stock Exchange substantial supervision tion transactions Tsa rules umbrella funds underwriting West Germany whilst withholding tax