Investor Protection
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The Law Of Investor Protection
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Author : Jonathan Fisher
language : en
Publisher: Sweet & Maxwell
Release Date : 2003
The Law Of Investor Protection written by Jonathan Fisher and has been published by Sweet & Maxwell this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with Financial services industy categories.
This series enables practitioners to stay up to date with litigation and developments in the field of entertainment law. Emphasis is placed on the practical implications of relevant legislative developments and the effects of technology on artists, rights owners and collecting societies
Financial Advice And Investor Protection
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Author : Booysen, Sandra
language : en
Publisher: Edward Elgar Publishing
Release Date : 2021-12-07
Financial Advice And Investor Protection written by Booysen, Sandra and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-12-07 with Law categories.
This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection – this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.
The Law Of Investor Protection
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Author : Jonathan Fisher
language : en
Publisher:
Release Date : 1997
The Law Of Investor Protection written by Jonathan Fisher and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1997 with Financial services industry categories.
Coverage of the law which protects investors and regulates those involved in the investment industry. A review of each system for the regulation of the investment markets, examines the obligations of company directors, shareholders, trustees, deposit takers and professional advisors, and sets out procedures leading to civil and criminal actions.
The Cambridge Handbook Of Investor Protection
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Author : Arthur B. Laby
language : en
Publisher: Cambridge University Press
Release Date : 2022-10-27
The Cambridge Handbook Of Investor Protection written by Arthur B. Laby and has been published by Cambridge University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-10-27 with Law categories.
The topic of investor protection has occupied investors, businesses, regulators, academics, and courts since the 1930s. The topic exploded in importance after the 2008 financial crisis and the Bernard Madoff Ponzi scheme of the same year. Investor protection scholarship now seeks to respond to developments such as the institutionalization of the markets, the democratization of finance, and the enhanced role of market professionals and other gatekeepers. Additionally, although the philosophy of full disclosure remains the guiding principle behind the securities laws, recent research has questioned the merits of a disclosure-based regime. In light of these trends, regulators try to strike the right balance between imposing a strict investor protection regime, on the one hand, and giving businesses the freedom to innovate new projects, market new services, and reduce costs, on the other. The Cambridge Handbook of Investor Protection brings together leading scholars to inform this debate and fill a gap left by these developments.
Regulating Investor Protection Under Eu Law
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Author : Antonio Marcacci
language : en
Publisher: Springer
Release Date : 2018-06-27
Regulating Investor Protection Under Eu Law written by Antonio Marcacci and has been published by Springer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-06-27 with Business & Economics categories.
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, the Union/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.
Asset Management And Investor Protection
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Author : Julian Franks
language : en
Publisher: OUP Oxford
Release Date : 2003-01-16
Asset Management And Investor Protection written by Julian Franks and has been published by OUP Oxford this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003-01-16 with Business & Economics categories.
Asset management is a major industry playing an increasingly important role in economic activity around the world. Asset managers provide services to individuals, governments, public agencies, banks, pension funds, insurance companies, and charities, to name a few. Traditionally, asset management has been primarily associated with the 'stock market' economies of the UK and the USA, but, as this book shows, some of the most spectacular growth in activity of recent years has occurred in Continental Europe. This has presented opportunities and challenges. New forms of financial instruments and institutions have emerged in countries that have traditionally relied on debt and non-market forms of intermediation. Competition has intensified, and entry has occurred both within and across national markets. However, this growth has been accompanied by potential problems: while investors enjoy a wider range of products and services, they face more complex instruments and transactions. Therefore, the potential for failures, such as misdealing and fraud, may have increased. The natural response is to strengthen regulation, but there is a fine balance to be struck between inadequate and excessive regulation of asset managers. This is particularly complicated in the context of European capital markets. European countries have traditionally had very different financial systems and asset management businesses, therefore it is no surprise to discover many different approaches to regulating asset managers. How should the European Commission respond to this diversity? Should it seek to create greater uniformity via common regulatory rules? The particular focus of this book is financial resource requirements. There is currently an active debate about the role capital requirements should play in asset management, particularly in the European context. In order to address this issue, the authors argue that it is necessary to understand the nature of the asset management business in different countries and the risks that it faces. They therefore discuss how the asset management business operates; how it is organized; the nature and size of risks in the business, who bears them, and how they are financed; and what the alternative forms of investor protection are, together with their associated costs and benefits.
Review Of Investor Protection
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Author : Laurence Cecil Bartlett Gower
language : en
Publisher:
Release Date : 1982
Review Of Investor Protection written by Laurence Cecil Bartlett Gower and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1982 with Business & Economics categories.
Securities Investor Protection Steps Needed To Better Disclose Sipc Policies To Investors
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Author :
language : en
Publisher: DIANE Publishing
Release Date : 2001
Securities Investor Protection Steps Needed To Better Disclose Sipc Policies To Investors written by and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2001 with categories.
Investor Protection
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Author : Hanneke Wegman
language : en
Publisher: Kluwer Law International B.V.
Release Date : 2015-11-24
Investor Protection written by Hanneke Wegman and has been published by Kluwer Law International B.V. this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-11-24 with Law categories.
The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds available in the EU can be established both inside and outside the EU, they may be subject to different investor protection regulations, depending on where the fund is located. Accordingly, different levels of investor protection may exist between investors investing in EU funds and investors investing in non-EU funds, including US funds. This book investigates whether there is a level playing field between EU investors investing in EU funds and EU investors investing in US funds and if not, if there is a legal basis in current EU law for the EU regulator to adopt additional investor protection rules applying to investment funds. The analysis considers the basic characteristics of investment funds, how they function in practice, and how they are regulated relating to investor protection issues. Factors examined in depth include the following: – features of funds most relevant to the protection of retail investors; – operational structure, investment strategies, fee structure, and legal structure of funds; – internal control systems; – transparency and disclosure rules; – conduct of business rules; and – depositary monitoring rules. The author examines relevant EU directives and rules and the particular remit of each, as well as US law applying to investment funds that are active in the EU. Case law and relevant literature in the field is also drawn on. As an assessment of the current degree of protection applying to funds that are available to EU retail investors – as well as an up-to-date overview of regulatory requirements and procedures concerning the protection of EU investors in investment funds – this book is unsurpassed. Especially valuable is the closing discussion about whether the EU regulatory system provides for a level playing field of protection for EU retail investors, and if not which additional rules can be adopted by the EU regulator in this area. Lawyers and other professionals in all areas of law and policy concerned with investment and finance will find this book of great value.
How To Protect Investors
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Author : Niamh Moloney
language : en
Publisher: Cambridge University Press
Release Date : 2010-01-21
How To Protect Investors written by Niamh Moloney and has been published by Cambridge University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-01-21 with Business & Economics categories.
A critical, comparative and contextual examination of how to protect retail or household investors which considers the financial crisis's implications.