Practitioner's Guide to Conflicts of Interest in the Financial Services Industry - Softcover

Rob Helm; Dick Frase; Martin Day

9780414049413: Practitioner's Guide to Conflicts of Interest in the Financial Services Industry

Softcover

ISBN 10: 0414049411 ISBN 13: 9780414049413

Publisher: Sweet & Maxwell, 2012

A 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, and the civil law approach with reference to France, Germany and Luxembourg.

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