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.
Publisher: Sweet & Maxwell Ltd
Number of pages: 366
Edition: New ed.
You may also be interested in...
£12.99Mixed media product
Please sign in to write a review
Simply reserve online and pay at the counter when you collect. Available in shop from just two hours, subject to availability.
Thank you for your reservation
Your order is now being processed and we have sent a confirmation email to you at
When will my order be ready to collect?
Following the initial email, you will be contacted by the shop to confirm that your item is available for collection.
Call us on or send us an email at
Unfortunately there has been a problem with your order
Please try again or alternatively you can contact your chosen shop on or send us an email at