Book contents
- Frontmatter
- Contents
- Preface
- List of acronyms
- Part I Evolution of capital markets regulation, FSA and the European single market
- Part II Licensing and rule application
- Part III The firm's infrastructure
- Part IV Conduct of business
- 8 Client classification and client documentation
- 9 Principles of conduct
- 10 Marketing investments
- 11 Advising clients
- 12 Improper behaviour in dealing and executing orders
- 13 Dealing and executing orders
- 14 Exchanges and MTFs
- Part V Application of rules to particular businesses
- Bibliography
- Index
9 - Principles of conduct
Published online by Cambridge University Press: 03 December 2009
Book contents
- Frontmatter
- Contents
- Preface
- List of acronyms
- Part I Evolution of capital markets regulation, FSA and the European single market
- Part II Licensing and rule application
- Part III The firm's infrastructure
- Part IV Conduct of business
- 8 Client classification and client documentation
- 9 Principles of conduct
- 10 Marketing investments
- 11 Advising clients
- 12 Improper behaviour in dealing and executing orders
- 13 Dealing and executing orders
- 14 Exchanges and MTFs
- Part V Application of rules to particular businesses
- Bibliography
- Index
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- Capital Markets Law and ComplianceThe Implications of MiFID, pp. 254 - 264Publisher: Cambridge University PressPrint publication year: 2008