Search for dissertations about: "MiFID"

Found 2 swedish dissertations containing the word MiFID.

  1. 1. The Best There Is? An Inquiry into Best Execution Rules

    University dissertation from Stockholm : Department of Law, Stockholm University

    Author : Thomas Ordeberg; Stockholms universitet.; [2013]
    Keywords : SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; best execution; securities regulation; securities markets; MiFID; European Law; europeisk integrationsrätt;

    Abstract : Best execution obligations weigh on brokers when they execute orders to trade in shares for clients. These obligations have been seen as an outflow of general agency duties, and have been complemented by regulatory requirements related to best execution, dissemination of trading data, the handling of client orders and – in the United States – an obligation to execute at the best publicly available price or better (price protection). READ MORE

  2. 2. Legal Aspects of Conflicts of Interest in the Financial Services Sector in the EU and China : The XYZ of Norm-making

    University dissertation from Stockholm : Department of Law, Stockholm University

    Author : Kelly Chen; Stockholms universitet.; [2018]
    Keywords : SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; conflicts of interest; investment services; EU financial regulation; MIFID II; Chinese financial regulation; Chinese law; soft law; intressekonflikter; finansiella marknader; EU finansmarknadsreglering; kinesisk finansmarknadsreglering; kinesisk rätt; Private Law; civilrätt;

    Abstract : The dissertation is an analysis of financial services firms’ duty to manage the conflicts of interest that can arise within the scope of the firm-client relationship in the financial services sectors in the EU and China. Three services in particular are used as examples, namely buying and selling shares in companies on behalf of clients, investment advisory, and individual portfolio management in relation to such shares. READ MORE