Sökning: "mifid"

Hittade 4 avhandlingar innehållade ordet mifid.

  1. 1. Rådgivningsansvar – särskilt avseende finansiell rådgivning och investeringsrådgivning

    Författare :Fredric Korling; Jan Kleineman; Stefan Lindskog; Stockholms universitet; []
    Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; advice; advisor; financial advice; investment advice; adviser liability; tort; damages; MiFID; behavioral finance; consumer; accountant; lawyer; insurance intermediary; financial market; råd; rådgivning; finansiell rådgivning; investeringsrådgivning; finansrådgivning; placeringsrådgivning; rådgivaransvar; rådgivningsansvar; skadestånd; MiFID; behavioral finance; konsument; revisor; advokat; försäkringsförmedlare; värdepappersmarknad; Private law; Civilrätt; Tort law; Skadeståndsrätt; Contract law; Speciell avtalsrätt; Private Law; civilrätt;

    Sammanfattning : The liability incurred with respect to advisory services, particularly with respect to financial and investment advice, is the subject of this thesis. A number of factors that have influenced developments within the societal and regulatory environments in which advisory services are provided, primarily with respect to financial advice, are examined. LÄS MER

  3. 2. The Best There Is? : An Inquiry into Best Execution Rules

    Författare :Thomas Ordeberg; Gustaf Sjöberg; Lars Pehrson; Howell Jackson; Stockholms universitet; []
    Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; best execution; securities regulation; securities markets; MiFID; europeisk integrationsrätt; European Law;

    Sammanfattning : 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). LÄS MER

  4. 3. On Institutional Demands in Banking and the Exchange of Hard and Soft Accounting Information

    Författare :Magnus Norberg; Fredrik Nilsson; Linda Wedlin; Mikael Wendschlag; Katarina Kaarbøe; Uppsala universitet; []
    Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; Banking; Institutional demands; Regulatory initiatives; Exchange; Accounting information; Hard information; Soft information; Financial regulation; KRITA; MiFID II; Financial robo-advising; Transactions; Relationship; Firms; Digitalisation; Tension; Business Studies; Företagsekonomi;

    Sammanfattning : The overarching purpose of the thesis is to explore how institutional demands influence banks, which has been a core issue in banking research. This has become even more critical since the financial crisis of 2007–2009. LÄS MER

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

    Författare :Kelly Chen; Jan Kleineman; Jessika van der Sluijs; Ross Cranston; Stockholms universitet; []
    Nyckelord :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;

    Sammanfattning : 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. LÄS MER