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'Regulation and Compliance in Operations' looks at how regulation affects the operations function by focusing on regulatory issues and drivers. As regulatory demands ever increasing, it is important for operations teams to be aware of the important regulatory issues which exist globally. Like any other part of an organization in the financial services industry, operations has rules and regulations to comply with. Although many view regulation as being about rooting out rogue traders and controlling speculators, its role is much more profound than this, and without it many

Securities industry --- Law and legislation --- Self-regulation

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Money market. Capital market --- New York City --- Wall Street (New York, N.Y.) --- Securities industry --- Stockbrokers --- United States

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Financial law --- France --- Capital market --- Marché financier --- Law and legislation --- Droit --- -Finance --- -Securities industry --- -346.0920944 --- Ja2.gfra --- Financial services industry --- Funding --- Funds --- Economics --- Currency question --- Capital markets --- Market, Capital --- Finance --- Financial institutions --- Loans --- Money market --- Securities --- Crowding out (Economics) --- Efficient market theory --- -Law and legislation --- -Capital market --- Securities industry --- Marché financier --- Law

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Financial law --- Securities industry --- Securities. --- International cooperation. --- Securities --- Financial services industry --- Blue sky laws --- Capitalization (Finance) --- Investment securities --- Portfolio --- Scrip --- Securities law --- Underwriting --- Investments --- Investment banking --- International cooperation --- Law and legislation

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Financieel recht - financieel recht & impact van de invoering van de EURO op de kapitaalmarkten & de financiele instrumenten en het verrichten van diensten op gebied van beleggingen (beleggingsdiensten) & de autoriteiten (controle - autoriteiten) en marktondernemingen (entreprise de marche) & de (financiele) tussenpersonen kredietinstelling(en) ... & de (financiele) markten & transacties uitgevoerd op de markten & de (burgerlijke en strafrechtelijke) aansprakelijkheid van dienstverleners & voorkoming toezicht en behandeling van risico's & liberalisering van de financiele diensten - principes van het communautaire (e.g) recht en toepasselijke wetgeving op markttransacties

Financial law --- France --- Finance --- Capital market --- Securities industry --- Law and legislation --- 347.73 --- -Finance --- -Securities industry --- -#ECO:02.04:financiële sector geldmarkt kapitaalmarkt beleggingen beurs --- AA / International- internationaal --- FR / France - Frankrijk --- 347.730 --- 347.728.5 --- 333.611 --- 333.646 --- U75 - Marchés financiers - Financiële markten --- -346.0920944 --- Ja2fra --- Financial services industry --- Funding --- Funds --- Economics --- Currency question --- Capital markets --- Market, Capital --- Financial institutions --- Loans --- Money market --- Securities --- Crowding out (Economics) --- Efficient market theory --- Financieel recht. Commerciele organisatie. Handelsinstellingen --- -Law and legislation --- -Financiële instellingen: algemeen. --- Openbare uitgiften. Plaatsing van effecten. --- Organisatie, reglement, bewaking. --- reglementering van de Beurs. --- -Capital market --- 347.73 Financieel recht. Commerciele organisatie. Handelsinstellingen --- -347.73 --- 346.0920944 --- #ECO:02.04:financiële sector geldmarkt kapitaalmarkt beleggingen beurs --- Organisatie, reglement, bewaking --- reglementering van de Beurs --- Openbare uitgiften. Plaatsing van effecten --- Financiële instellingen: algemeen --- Finance - Law and legislation - France. --- Capital market - Law and legislation - France. --- Securities industry - Law and legislation - France. --- GESTION FINANCIERE --- DROIT BANCAIRE ET FINANCIER --- MARCHES FINANCIERS