Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
Regulated Trader
Download Regulated Trader full books in PDF, epub, and Kindle. Read online Regulated Trader ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Book Synopsis Broker-dealer Regulation in a Nutshell by : Thomas Lee Hazen
Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Book Synopsis Dealing in Securities: The Law and Regulation of Sales and Trading in Europe by : Christos Nifadopoulos
Download or read book Dealing in Securities: The Law and Regulation of Sales and Trading in Europe written by Christos Nifadopoulos and published by Bloomsbury Publishing. This book was released on 2021-11-30 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Book Synopsis The Regulation of International Trade, Volume 3 by : Petros C. Mavroidis
Download or read book The Regulation of International Trade, Volume 3 written by Petros C. Mavroidis and published by MIT Press. This book was released on 2020-11-24 with total page 753 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive analysis of GATS that considers its historical context, the national preferences that shaped it, and a path to a GATS 2.0. The previous two volumes in The Regulation of International Trade analyzed the General Agreement on Tariffs and Trade (GATT), the first successful agreement to generate multilateral trade liberalization, and the World Trade Organization (WTO), for which the GATT laid the groundwork. In this third volume, Petros Mavroidis turns to the General Agreement on Trade in Services (GATS), a WTO treaty that took effect in 1995, and offers a comprehensive analysis that considers the historical context of the GATS, the national preferences that shaped it, and a path to a GATS 2.0.
Book Synopsis Genes, Trade, and Regulation by : Thomas Bernauer
Download or read book Genes, Trade, and Regulation written by Thomas Bernauer and published by Princeton University Press. This book was released on 2003 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides novel and thought-provoking insights into the fundamental policy issues involved in agricultural biotechnology. Thomas Bernauer explains global regulatory polarization and trade conflict in this area. He then evaluates co-operative and unilateral policy tools for coping with trade tensions. Arguing that the tools used thus far have been and will continue to be ineffective, he concludes that the risk of a full-blown trade conflict is high and may lead to reduced investment and the decline of the technology. Bernauer concludes with suggestions for policy reforms to halt this trajectory -recommendations that strike a balance between public-safety concerns and private economic freedom - so that food biotechnology is given a fair chance to prove its environmental, health, humanitarian and economic benefits.
Book Synopsis Domestic Regulation and Service Trade Liberalization by : Pierre Sauve
Download or read book Domestic Regulation and Service Trade Liberalization written by Pierre Sauve and published by World Bank Publications. This book was released on 2003-08-29 with total page 246 pages. Available in PDF, EPUB and Kindle. Book excerpt: Trade in services, far more than trade in goods, is affected by a variety of domestic regulations, ranging from qualification and licensing requirements in professional services to pro-competitive regulation in telecommunications services. Experience shows that the quality of regulation strongly influences the consequences of trade liberalization. WTO members have agreed that a central task in the ongoing services negotiations will be to develop a set of rules to ensure that domestic regulations support rather than impede trade liberalization. Since these rules are bound to have a profound impact on the evolution of policy, particularly in developing countries, it is important that they be conducive to economically rational policy-making. This book addresses two central questions: What impact can international trade rules on services have on the exercise of domestic regulatory sovereignty? And how can services negotiations be harnessed to promote and consolidate domestic policy reform across highly diverse sectors? The book, with contributions from several of the world's leading experts in the field, explores a range of rule-making challenges arising at this policy interface, in areas such as transparency, standards and the adoption of a necessity test for services trade. Contributions also provide an in-depth look at these issues in the key areas of accountancy, energy, finance, health, telecommunications and transportation services.
Book Synopsis The Regulation of International Trade by : Robert Howse
Download or read book The Regulation of International Trade written by Robert Howse and published by Routledge. This book was released on 2005-08-08 with total page 640 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of International Trade 2nd Edition introduces the rules and institutions that govern international trade. The authors base their analysis on aspects of the subject from classic and contemporary literature on trade and political economy. This new edition has been fully updated to take account of the most recent developments in International Trade. New issues covered include: trade and competition trade and labour rights the Multilateral Agreement on Investment the Basic Telecoms and Financial Services WTO Agreements an analysis of the first three years of WTO dispute rulings, including those of Appelate Body. Drawing on the success of the earlier edition, this comprehensive and up to date text will be an invaluable guide to students of economics, law, politics and international relations.
Book Synopsis The Regulation of International Trade by : Petros C. Mavroidis
Download or read book The Regulation of International Trade written by Petros C. Mavroidis and published by . This book was released on 2016 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis International Regulatory Co-operation and Trade Understanding the Trade Costs of Regulatory Divergence and the Remedies by : OECD
Download or read book International Regulatory Co-operation and Trade Understanding the Trade Costs of Regulatory Divergence and the Remedies written by OECD and published by OECD Publishing. This book was released on 2017-05-24 with total page 70 pages. Available in PDF, EPUB and Kindle. Book excerpt: This report proposes a definition of trade costs of regulatory divergence and analyses various approaches to addressing them, including unilateral, bilateral and multilateral approaches.
Book Synopsis Trade, Competition and Domestic Regulatory Policy by : Shanker A. Singham
Download or read book Trade, Competition and Domestic Regulatory Policy written by Shanker A. Singham and published by Taylor & Francis. This book was released on 2023-03-29 with total page 501 pages. Available in PDF, EPUB and Kindle. Book excerpt: Trade, Competition and Domestic Regulatory Policy presents a unique combination of analysis of both international trade and investment policies, and competition and regulatory policies. Increasingly, policymakers, businesses and the law and economics professions need to better understand how changes and policy developments in international trade and competition developed and how their interaction impacts on global business. In addition to providing a comprehensive analysis of the attempts of international trade theory and practice to deal with tariffs, non-tariff barriers, market distortions and failures to protect various kinds of property rights, this book contains a detailed treatment of how property rights protection, including intangible property rights are a critical element of ensuring open trade and competitive markets. It examines how these rights have developed over time, and how they have been integrated into trade and competition policy. This book will be of significant interest to students of international business, professors of economics, law and business, and policymakers at the intersection of trade, investment, competition and property rights.
Book Synopsis Trade and Regulatory Reform Insights from Country Experience by : OECD
Download or read book Trade and Regulatory Reform Insights from Country Experience written by OECD and published by OECD Publishing. This book was released on 2001-07-23 with total page 147 pages. Available in PDF, EPUB and Kindle. Book excerpt: This conference proceedings presents national experiences of regulatory reform and trade in order to foster consensus-building on best practices. Such practices include enhanced transparency, non-discriminatory due process, independence of regulators and active implementation of competition policy.
Book Synopsis National Regulation and Trade Liberalization in Services by : Markus Krajewski
Download or read book National Regulation and Trade Liberalization in Services written by Markus Krajewski and published by Kluwer Law International B.V.. This book was released on 2003-01-01 with total page 270 pages. Available in PDF, EPUB and Kindle. Book excerpt: Like tariffs and other border measures, national regulatory barriers impede international trade. Unlike tariffs, however, such barriers usually indicate an important domestic policy choice. This 'conflict of interest' has emerged as a crucial issue in international law, particularly with regard to services, such as telecommunications and health services. This study is the first to analyze the potential impact of incompatibilities between national regulatory regimes and the rules and obligations imposed by the General Agreement on Trade in Services (GATS). In the process of arriving at his challenging concluding theses, the author investigates such relevant concepts as the following: the political and ideological dynamics of GATS negotiations services trade liberalization in regional integration systems, particularly in EC law policies common to diverse national regulatory systems the notions of 'deregulation' and 'privatization' the human rights implications of international trade law the GATS obligations of market access, national treatment, and most-favoured-nation treatment the role of the WTO's dispute settlement organs GATS transparency obligations Professor Krajewski's study is of enormous significance to specialists in regulatory policies and instruments at all national and sectoral levels, especially in the context of ongoing GATS negotiations. As the author warns: Unless GATS negotiators and national regulators have a thorough understanding of the relationship between GATS obligations and regulatory policies and instruments, they cannot effectively use the flexible elements of GATS and could reach an agreement which they may later regret.
Book Synopsis The Regulation of International Trade by : Michael J. Trebilcock
Download or read book The Regulation of International Trade written by Michael J. Trebilcock and published by Psychology Press. This book was released on 1999 with total page 636 pages. Available in PDF, EPUB and Kindle. Book excerpt: Introduces the rules and institutions that govern international trade. This new edition has been fully up-dated to take account of the most recent developments.
Book Synopsis WTO Domestic Regulation and Services Trade by : Aik Hoe Lim
Download or read book WTO Domestic Regulation and Services Trade written by Aik Hoe Lim and published by Cambridge University Press. This book was released on 2014-03-13 with total page 395 pages. Available in PDF, EPUB and Kindle. Book excerpt: Domestic regulation of services sectors has a significant impact on services trade liberalization, which is why General Agreement on Trade in Services (GATS) disciplines are negotiated in the WTO. With the help of analyses and case-studies from academics, regulators and trade experts, this book explores the scope and limits of WTO legal principles to promote domestic regulatory reform. Case-studies discuss country-specific challenges and experiences of regulating important service sectors, such as finance, telecommunications, distribution, legal, education, health, postal and logistics services, as well as the role of regulatory impact assessments. The findings will interest trade officials, policy-makers, regulators, think tanks and businesses concerned with the implications of domestic regulation on access to services markets, and with the opportunities for formulating trade disciplines in this area. It is also a useful resource for academics and students researching regulatory approaches and practices in services sectors.
Book Synopsis The WTO and the Regulation of International Trade by : Nicholas Perdikis
Download or read book The WTO and the Regulation of International Trade written by Nicholas Perdikis and published by Edward Elgar Publishing. This book was released on 2005-01-01 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt: 'The book is an excellent introduction to understanding the principal trade disputes between the United States and EU over the last decade and a half.' - International Trade Law and Regulation This book provides a critical overview and assessment of the WTO's dispute settlement procedures in the context of several recent trade-related disputes between the EU and the US.
Book Synopsis The Regulation of International Trade by : Michael Trebilcock
Download or read book The Regulation of International Trade written by Michael Trebilcock and published by Routledge. This book was released on 2005-06-20 with total page 875 pages. Available in PDF, EPUB and Kindle. Book excerpt: Drawing on a wide variety of classic and contemporary sources, respected authors Howse and Trebilcock here provide a critical analysis of the institutions and agreements that have shaped international trade rules. In light of the growing debate over globalization, they include special sections examinations of topics such as: * agriculture * services and trade-related intellectual property rights * labor rights * the environment * migration. Drawing on previous highly praised editions this comprehensive text is an invaluable guide to students of economics, law, politics and international relations. Now fully updated, this third edition includes full coverage of new developments including the Doha trade round, attitudes towards the Kyoto protocol and the growing body of WTO dispute resolution case law.
Book Synopsis Banking Regulation and World Trade Law by : Lazaros E. Panourgias
Download or read book Banking Regulation and World Trade Law written by Lazaros E. Panourgias and published by Bloomsbury Publishing. This book was released on 2006-04-07 with total page 310 pages. Available in PDF, EPUB and Kindle. Book excerpt: Banking Regulation and World Trade Law concerns the legal aspects of the interaction between banking regulation and international trade in financial services. The author studies the internal banking market of the European Union, the liberalisation of financial services trade in the World Trade Organization, the accords of the Basel Committee on Banking Supervision and the European Central Bank. The book focuses on the balancing between banking regulation and international trade law. It discusses discrimination and proportionality in national banking regulation, the allocation of prudential regulation and supervision between home and host country, and international financial law-making. The author questions decentralised/nation-based banking regulation and supervision as a foundation for a sustainable liberalisation of international trade in financial services. The book considers various reforms of the international financial architecture, such as the incorporation of the Basel processes and accords into the WTO system, and the setting up of new international institutions by building on the Basel Committees or the IMF structures. The role of central banking in designing the international financial architecture is also explored: the book reviews the ECB's competence over foreign exchange policy and its function as lender of last resort, and treats price stability, banking soundness and representation as critical concepts. The analysis also reveals that the concept of 'prudential', despite its extensive use in banking regulation, has not been defined with adequate precision. In seeking to delineate the interface between international economic law and banking regulation, Dr Panourgias builds on the rich European scholarship on institutional financial issues and the US interdisciplinary approach to world trade law. He also entertains the notion of international financial law as a distinct field. The book will be of particular interest to those concerned with financial law and international banking.
Book Synopsis Internet Regulation and the International Trade Regime by : Sun Nanxiang
Download or read book Internet Regulation and the International Trade Regime written by Sun Nanxiang and published by Routledge. This book was released on 2022-06-30 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the age of information, an open Internet is a key component for modern economic development. This book analyses the World Trade Organization Agreement for virtual society and explores key questions regarding internet regulation and trade barriers. Information and communication technology has introduced a transformational element to international trade, in the shape of e-commerce. Although internet technology is conceptually neutral, it can be used as a medium that poses severe threats to individual rights, public morals, public order, and national security. World Trade Organization law and jurisprudence, which are the basis of global economic and trade rules, can be applied in cyberspace but internet regulatory measures can also pose a threat to free trade. This book thus explores the following questions: whether internet regulation constitutes a trade barrier; if so, what form does that take; and whether WTO members can invoke exception clauses to justify their internet regulatory measures? The research provides deep interpretations on treaty law and case law, and draws on additional interdisciplinary approaches to answer these questions. This book will be of great interest to Scholars and Students of law, with a focus on international trade and internet regulation, as well as anyone interested in Chinese cyber law.
