Compliance im Wertpapierdienstleistungskonzern
Thomas LöslerCredit 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.
Anno:
2003
Casa editrice:
De Gruyter
Lingua:
german
Pagine:
357
ISBN 10:
3110900874
ISBN 13:
9783110900873
Collana:
Schriftenreihe der Bankrechtlichen Vereinigung; 21
File:
PDF, 59.62 MB
IPFS:
,
german, 2003
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