Compliance im Wertpapierdienstleistungskonzern |
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| Author:
| Lösler, Thomas |
| Series title: | Schriftenreihe der Bankrechtlichen Vereinigung Ser. |
| ISBN: | 978-3-11-182579-3 |
| Publication Date: | Jan 2003 |
| Publisher: | De Gruyter, Inc.
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| Book Format: | Mixed media product |
| List Price: | USD $335.00 |
Book Description:
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Credit and financial services institutions are obliged to ensure that laws, regulations and practices in securities operations are abided by, especially conflicts of interest are avoided and insider information are not disclosed dishonestly - summarized under the term Compliance according to art. 33 sec. 1 WpHG (German Securities Trading Law). The author answers questions resulting from this obligation with a dogmatic foundation and makes fundamental proposals for current Compliance practice.
Credit and financial services institutions are obliged to ensure that laws, regulations and practices in securities operations are abided by, especially conflicts of interest are avoided and insider information are not disclosed dishonestly - summarized under the term Compliance according to art. 33 sec. 1 WpHG (German Securities Trading Law). The author answers questions resulting from this obligation with a dogmatic foundation and makes fundamental proposals for current Compliance practice.