Polecana bibliografia

I. W zakresie MIFID II (wszystkie dostępne na stronie www.eurocapitalmarkets.org):

  • MiFID 2.0 Casting New Light on Europe’s Capital Markets – Report of the ECMI – CEPS Task Force on the MiFID Review – bardzo dobre i obszerne opracowanie nt. MiFID II
  • MiFID 2.0 Casting New Light on Europe’s Capital Markets – Diego Valiante
  • MiFID 2.0 Unveiled – Karel Lannoo
  • „Rethinking Asset Management: From Financial Stability to Investor Protection and Economic Growth” (Mirzha de Manuel, Karel Lannoo).

II. Compliance

  • ESMA – “Final report – Guidelines on certain aspects of the MiFID compliance function requirements” (06/07/2012)
  • „Compliance – odpowiedzialny prawnik w finansach” (“Radca Prawny” nr 123 (03.2012))
  • „Compliance w przedsiębiorstwie” Bartosz Makowicz
  • COMPLIANCE and its relationship to internal audit – Janet Terblanch
  • Zarządzanie ryzykiem braku zgodności w banku – Bartosz Kapuściński
  • Manager’s Guide to Compliance – Anthony Tarantino (w ogóle bardzo ciekawa i potężna książka)
  • Report – Reputation: Risk of risks – Economist Intelligence Unit
  • The Practical Guide to: Assuring Compliance – Rebecca Herold
  • Compliance – Nowa funkcja banków – Beata Zdanowicz
  • The Handbook of Compliance: Making Ethics Work in Financial Services Mind Into Matter – Andrew Newton
  • i trochę już przestarzałe – Standard zarządzania ryzykiem – FERMA z 2002 r.

III. Zachęty

  • Wyjaśnienia skierowane do Domów Maklerskich, Biur Maklerskich oraz jednostek organizacyjnych banków – KNF – 09.08.2011
  • Report – Inducements: good and poor practices – CESR (ESMA) – 19.04.2010
  • Feedback statement – Inducements: good and poor practices – CESR (ESMA) – 19.04.2010
  • Consultation paper on Inducements: good and poor practices – CESR (ESMA) – 22.10.2009
  • Supervisory briefings – Inducements – CESR (ESMA) – 06.10.2008
  • Feedback statement – CESR Level 3 Recommendations on Inducements under MiFID – CESR (ESMA) – 29/05/2007
  • Recommendations – Inducements under MiFID – CESR (ESMA) – 29.05.2007
  • Consultation paper – Inducements under MiFID – CESR (ESMA) – 13.04.2007
  • Consultation paper – Inducements under MiFID – CESR (ESMA) – 22.12.2006
  • Response of EBF (European Banking Federation) on Inducements: Good and Poor Practices (22.10.2009) – EBF

IV. MiFID – ogólnie

  • ESMA “Final report – Guidelines on certain aspects of the MiFID suitability requirements” (06.07.2012)
  • The MiFID Metamorphosis – Karel Lannoo, Diego Valiante
  • The MiFID Revolution – Jean Pierre Casey, Karel Lannoo
  • The Regulation of Investment Services in Europe under MiFiD : Implementation and Practice: Special Report – Annelies Verstichel, Emilios Avgouleas
  • Capital Markets Law and Compliance : The implications of MiFID – Paul Nelson
  • The Future of Investing in Europe’s Markets After MiFID – Chris Skinner
  • A Practitioner’s Guide to MiFID – Matthew Elderfield
  • City Essentials – An introduction to MiFID: Guide – BPP Learning Media
  • MiFID – Convergence Towards a Unified European Capital Markets Industry – Jean-René Giraud & Catherine D’Hondt
  • Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond – Guido Ferrarini and Eddy Wymeersch
  • ECMI Research Report No. 6 February 2011 – MiFID Implementation in the midst of the Financial Crisis – Results of an ECMI Survey – Diego Valiante & Bashir Assi
  • The implementation of Best Execution Obligations – An Analysis of the German Market, Surveys 2008 and 2009 – Prof. dr Peter Gomber
  • ECMI Survey on MiFID “real” Implementation: Preliminary Results – Karel Lannoo
  • Post-trading – the regulatory agenda for clearing and settlement – Klaus M. Lober
  • MiFID & EU Markets – what’s next – Brian Scott – Quinn
  • MiFID – What is not working? – Richard Balarkas
  • Lack of implementation of MiFID Best Execution
  • The Euro Prisoner’s Dilemma – Diego Valiante
  • Setting the Institutional and Regulatory Framework for Trading Platforms: Does the MiFID definition of OTF make sense? – Diego Valiante

Bibliografia zebrana przez: Grzegorz Włodarczyk, Stowarzyszenie Compliance Polska, Compliance Expert, Kredyt Bank