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Regulating Investor Protection under EU Law = The Unbridgeable Gaps with the U.S. and the Way Forward /

紀錄類型:	書目-語言資料,印刷品 : Monograph/item
正題名/作者:	Regulating Investor Protection under EU Law/ by Antonio Marcacci.
其他題名:	The Unbridgeable Gaps with the U.S. and the Way Forward /
作者:	Marcacci, Antonio.
面頁冊數:	XVII, 394 p. 2 illus.online resource. :
Contained By:	Springer Nature eBook
標題:	Investment banking. -
電子資源:	https://doi.org/10.1007/978-3-319-90297-5
ISBN:	9783319902975

Regulating Investor Protection under EU Law = The Unbridgeable Gaps with the U.S. and the Way Forward /
Marcacci, Antonio.

Regulating Investor Protection under EU LawThe Unbridgeable Gaps with the U.S. and the Way Forward /[electronic resource] :by Antonio Marcacci. - 1st ed. 2018. - XVII, 394 p. 2 illus.online resource.

Introduction -- Chapter One: Towards a European Investor Protection Law -- First Part: The Law on the Books -- Chapter Two: The Evolution of the EU Law of Financial Markets -- Chapter Three: The Relationship Between an Investment Service Provider and a Retail Investor: EU and US compared -- Second Part: The Law in Action -- Chapter Four: Public Enforcement -- Chapter Five: Private Enforcement -- Chapter Six: The Compliance Function as Embedder of the Law-on-the-Book and as Enforcement Frontliner -- Chapter 7. Conclusions: The Unbridgeable Gaps with the US and the Emergence of an Increasingly Self-Sufficient EU Regulatory Investor Protection Law.

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.

ISBN: 9783319902975

Standard No.: 10.1007/978-3-319-90297-5doiSubjects--Topical Terms:

596537
Investment banking.

LC Class. No.: HG4501-6051

Dewey Class. No.: 332.6

Regulating Investor Protection under EU Law = The Unbridgeable Gaps with the U.S. and the Way Forward /
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