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Dealing in Securities: The Law and Regulation of Sales and Trading in Europe
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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 mar...
- 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 mar...
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