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.
Տարի:
2003
Հրատարակչություն:
De Gruyter
Լեզու:
german
Էջեր:
357
ISBN 10:
3110900874
ISBN 13:
9783110900873
Սերիաներ:
Schriftenreihe der Bankrechtlichen Vereinigung; 21
Ֆայլ:
PDF, 59.62 MB
IPFS:
,
german, 2003