ENGLISH

Regulating Investor Protection under EU Law

By Antonio Marcacci

Book information

Publisher
Springer International Publishing;Palgrave Macmillan
Year
2018
ISBN
978-3-319-90296-8, 978-3-319-90297-5
Language
english
Format
PDF
Filesize
3 MB (3574086 bytes)
Edition
1st ed.
Pages
XVII, 394\404
Time added
2018-08-15 07:07:45
Finance; Investments and Securities; Financial Law

Description

This book analyzes the legal system for the protection of retail investors under the European Union law of investment services. It identifies the regulatory leitmotiv driving the EU lawmaker and ascertains whether and to what extent such a system is self-sufficient, using a set of EU-made and EU-enforced rules that is essentially different and autonomous from the domestic legal orders. In this regard, the book takes a double perspective: comparative and intra-firm. Given the federal dimension of the US legal system and, thus, the “role-model” it plays vis-à-vis the EU, the book compares the two systems. To fully highlight the existing gaps and measure how self-sufficient the EU system is against its American counterpart, theUnion/Federal level as such is analyzed – i.e., detached from the national (in EU terms) and State (in US terms) level. Regulating Investor Protection under EU Law also showcases the unique intra-firm perspective from a European investment firm and analyzes how EU-produced public-law rules become a set of compliance requirements for investment services providers. This “within-the-firm” angle gauges the self-sufficiency of the EU system of retail investor protection from the standpoint of an EU-regulated entity. The book is intended for both compliance professionals and academic scholars interested in this topic while also including illustrative sections intended to provide a broader regulatory view for less-experienced readers. Front Matter ....Pages i-xvii Introduction (Antonio Marcacci)....Pages 1-7 Toward a European Regulatory Investor Protection Law (Antonio Marcacci)....Pages 9-32 Front Matter ....Pages 33-33 The Evolution of the EU Law of Financial Markets (Antonio Marcacci)....Pages 35-130 The Relationship Between an Investment Service Provider and a Retail Investor: EU and the United States Compared (Antonio Marcacci)....Pages 131-210 Front Matter ....Pages 211-211 Public Enforcement (Antonio Marcacci)....Pages 213-277 Private Enforcement (Antonio Marcacci)....Pages 279-316 The Compliance Function as Embedder of the Law-on-the-books and as Enforcement-Frontliner (Antonio Marcacci)....Pages 317-358 Conclusions: The Unbridgeable Gaps with the United States and the Emergence of an Increasingly Self-Sufficient EU Regulatory Investor Protection Law (Antonio Marcacci)....Pages 359-389 Back Matter ....Pages 391-394

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