Users without a subscription are not able to see the full
content. Please,
subscribe
or
login
to access all content.
Contents
- Preliminary Material
- Main Text
- 1 Introduction
- Preliminary Material
- A Commodities Trading in Europe and Worldwide
- B Economics of Commodities Trading
- C Regulation of Derivatives Prior to the Financial Crisis of 2008
- D Rationale for Regulation of Trading in Commodities Related Financial Instruments
- E The Impact of Brexit on the Regulation of Commodities Trading in Europe
- F Authorized Supervision
- G National Competent Authorities
- H Supervision—Other Countries
- 2 Commodity Trading Houses
- Preliminary Material
- A Introduction
- B Motives
- C Directive and Regulation on Markets in Financial Instruments
- 1 Introduction
- 2 Investment firm
- 3 Systematic internalisers
- 4 Passport
- 5 Freedom to provide services
- 6 Right of establishment
- 7 Tied agents
- 8 Third country access
- 9 Cross-border provisions
- D REMIT
- E Regulation of Commodity Trading Houses in Third Countries
- 1 Regulation of commodities trading houses in the US
- 2 Switzerland
- (a) Regulation of trading in financial instruments related to commodities
- (b) Regulation of commodities trading houses as securities dealers—Swiss based commodities trading houses
- (c) Foreign securities dealers
- (d) Requesting a licence
- (e) Regulation of investment firms trading derivatives related to commodities under the new FinSA—and FINIA—regime
- 2.240
- 2.241
- 2.242
- (i) The applicable obligations for non-Swiss client advisers and non-Swiss financial service providers
- (ii) Behavioural rules in detail
- (iii) Organizational requirements
- (iv) Obligation to affiliate with an ombudsman
- (v) Obligation to enter non-Swiss client advisers of Swiss clients and client advisers who provide financial services in Switzerland into the client adviser register
- (vi) Sanctions in case of non-compliance with the new rules
- (f) Investment firms trading in securities under the FINIA regime
- (g) The new rules for trade assayers in precious metals
- (h) Banking Act
- (i) Asset protection
- 3 Trading Venues
- Preliminary Material
- A Introduction
- B Clearing Houses and Trade Repositories
- C Regulated Markets in the EU
- 1 Introduction
- 2 Organizational requirements
- 3 Access of market participants
- 4 Admission to trading of financial instruments
- D Multilateral Trading Facilities in the EU
- E Organized Trading Facilities in the EU
- F Organized Market Places in the EU
- G Emission Allowance Platforms in the EU
- H Passport in the EU
- I Specific Trading Venues
- J UK Specific Rules
- 1 Introduction
- (a) Recognized investment exchanges
- (b) Application for recognition and revocation
- (c) Recognition requirements
- 3.200
- (i) Financial resources
- (ii) Safeguards for investors
- (iii) Publication of data regarding execution of transactions
- (iv) Promotion and maintenance of standards
- (v) Rules and consultation
- (vi) Discipline
- (vii) Complaints
- (viii) Whistleblowing
- (ix) Default rules in respect of market contracts
- (x) Excessive regulatory provision
- (xi) Supervision
- (d) Overseas investment exchanges
- (e) MTFs and OTFs
- (f) Third countries
- 1 Introduction
- 4 Trading Regulations
- Preliminary Material
- A Introduction
- B Financial Instruments
- C OTC Trading in the EU
- 4.28
- 1 Obligations
- 2 Exchange trading
- 3 UK specific rules
- 4 Third countries
- D Short Selling
- E Transparency
- F Securities and Finance Transaction Regulation
- 5 Market Abuse
- Preliminary Material
- A Introduction
- B Scope
- C Commodity Trading Houses
- 1 Scope of Market Abuse Regulation
- 2 Scope of Regulation on Energy Market Integrity and Transparency
- 3 Insider information
- 4 Insider dealing
- 5 Market manipulation
- 6 Trade surveillance
- 7 Suspicious transactions and order reporting
- 8 Whistleblowing
- D Supervision
- E Cooperation within the EU
- F Cooperation with Third Countries
- G Sanctions
- H Third Countries
- 6 Benchmark
- 7 Illicit Behaviour
- Preliminary Material
- A Embargoes and Sanctions
- B Bribery of Government Officials
- C Anti-Money Laundering
- 1 Introduction
- 2 International recommendations on money laundering
- 3 EU Fifth Anti-Money Laundering Directive
- 4 EU Fourth Anti-Money Laundering Directive
- 5 UK specific rules
- 6 Third countries
- 1 Introduction
- Further Material