European securities markets: the investment services directive and beyond
Gespeichert in:
| Format: | Buch |
|---|---|
| Sprache: | English |
| Veröffentlicht: |
London [u.a.]
Kluwer Law Internat.
1998
|
| Ausgabe: | 1. publ. |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XX, 406 S. |
| ISBN: | 9041107363 9789041107367 |
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| 245 | 1 | 0 | |a European securities markets |b the investment services directive and beyond |c ed.: Guido Ferrarini |
| 250 | |a 1. publ. | ||
| 264 | 1 | |a London [u.a.] |b Kluwer Law Internat. |c 1998 | |
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Datensatz im Suchindex
| _version_ | 1820127809569292288 |
|---|---|
| adam_text |
Contents
Preface xiii
List of Contributors xv
List of Abbreviations xix
Part I General
1 The Implementation of the ISD and CAD in National Legal
Systems 3
Eddy Wymeersch
1.1 An overview 3
1.2 The inventory 3
1.3 Implementation techniques 6
1.4 Prudential regulations and prudential supervision 10
1.5 Transactional regulation and supervision 15
1.6 Comparative developments: prudential regulation and
supervision 30
1.7 General patterns of transactional supervision 33
1.8 Specific fields of transactional supervision 34
1.9 Self regulation versus public regulation 38
1.10 Functional regulation 40
1.11 Conclusion 40
Appendix A: Directive 93/22/EEC on Investment Services
and Capital Adequacy Directives. Notification to the
European Commission of measures taken to bring the
directives into effect 41
2 Banking and Investment Services: Implications of the New
Financial Landscape 45
Ross Cranston
2.1 Introduction 45
2.2 Regulatory implications 47
2.3 Facilitating banking and financial developments 54
2.4 Private law implications 60
2.5 Conclusions 63
v
vi Contents
3 Economics of Securities Markets Regulation: Some Current
Issues 65
Francesco Cesarini
3.1 General 65
3.2 The ISD and its implementation in Italy 68
3.3 Concluding remarks 70
Part II Prudential Rules and Insolvency
4 Cross border Compliance: Organisational Duties Imposed on
National and International Investment Firms 73
Uwe H. Schneider
4.1 The initial legal situation 73
4.2 The target of regulation by organisational rules in
corporation law 74
4.3 Superimposing administrative law structural norms on
company law 77
4.4 The superimposing of organisational duties under
administrative law on those organisational duties imposed
by corporation law 77
4.5 Organisational duties imposed by the Investment Services
Directive on international investment firms 81
5 Practising Safer Lex: The Proper Domain of Property,
Secured Transactions and Insolvency Laws in the Regulation
of Intermediaries 85
Charles W.Mooney Jr
5.1 Introduction 85
5.2 Laws governing transfer and security interests in
investment property 86
5.3 Insolvency laws 89
5.4 Conclusion 93
6 Segregation of Securities and Insolvency under German
Law 95
Dorothee Einsele
6.1 General 95
6.2 Bona fide rights protection and the risk of illegal
transactions 96
6.3 Problems of the 'co ownership construction' in private
international law and its risk for investors 98
6.4 Chances and risks of the German settlement system of
securities traded and deposited abroad 101
Contents vii
7 Segregation of Assets and Insolvency under Italian Law 105
Pier Giusto Jaeger
7.1 General 105
7.2 Legal rules on segregation 106
7.3 Judicial rulings 108
7.4 Implementation of the ISD in Italy 110
Part III Conduct of Business
8 Rules of Conduct: Further Harmonisation? 115
Johannes Kondgen
8.1 Introduction 115
8.2 General purpose, scope and classification of conduct of
business rules 115
8.3 Harmonisation of conduct of business rules by the ISD:
an interim judgment 117
8.4 The European constitutional framework for further
harmonisation: after Maastricht 121
8.5 Is there a need for corrective harmonisation? 124
8.6 Conclusion: the intrinsic dynamics of minimum
harmonisation 129
9 Is there a Need to Harmonise Conduct of Business Rules? 131
Cristopher Cruickshank
9.1 Role of article 11 ISD 131
9.2 The state in which a service is provided 132
9.3 The case against harmonisation 133
10 Derivatives Sales: Private Law and the Impact of Regulatory
Standards 135
Wmiam Blair
10.1 Introduction 135
10.2 The nature of derivatives 136
10.3 Derivatives and risk 137
10.4 Regulatory structures 138
10.5 Regulatory rules 139
10.6 US initiatives 141
10.7 Best market practice 142
10.8 The nature of the obligation between bank
and end user 143
10.9 The principles in action 145
10.10 Conclusion 146
viii Contents
11 Conflicts of Interest: An English Problem? 149
Barry A. K. Rider
11.1 Introduction 149
11.2 Conflicts of interest and duty 150
11.3 Integration and confrontation 152
11.4 Making the fiduciary pay 153
11.5 Attribution of knowledge 161
11.6 Of Chinese walls and things . 163
12 Conflicts of Interest: The Spanish Experience 165
Anibal Sanchez
12.1 Introduction 165
12.2 The former law 166
12.3 The new Securities Market Act 167
12.4 Conduct of business rules: the general background 169
12.5 Nature of the Spanish conduct rules 170
12.6 New perspectives: the fall of structural barriers 171
12.7 Conclusions 173
Part IV Exchange Competition
13 The Changing Microstructure of European Equity Markets 177
Marco Pagano
13.1 Introduction 177
13.2 The background: a decade of competitive reform 178
13.3 The current picture: transaction costs in the competing
markets 193
13.4 Likely future developments 200
14 Competition between Regulated Markets in London 205
Stephen M. Schaefer
14.1 Introduction 205
14.2 Regulated markets and the principle of harmonisation: the
case of the CAD 205
14.3 Transparency 208
15.4 Auction versus dealership markets 209
14.5 The ISD and competition between markets in London 211
15 Competition among European Exchanges: Recent Developments 213
Ailsa Roell
15.1 Introduction 213
15.2 Effects of recent competitive pressures on stock exchanges 214
15.3 Future developments 217
15.4 Conclusions 223
Contents ix
16 Competition among Exchanges or Financial Systems? 225
Marco Onado
16.1 Introduction 225
16.2 Nature and strength of competitive forces in banking and
investment services 226
16.3 The position of national financial systems 230
16. 4 Implications for financial regulation 236
Part V Exchange Regulation
17 Exchange Governance and Regulation: An Overview 245
Guido Ferrarini
17.1 Introduction 245
17.2 Exchanges as firms 246
17.3. Recent developments 247
17.4 Exchange ownership 251
17.5 Regulation and surveillance 255
17.6 Exchanges as markets: the European directives 258
17.7 Concentration and access 260
17.8 Transparency 264
17.9 Conclusions 266
18 A European Directive for Regulated Markets? Some
Personal Views 269
Andrew Whittaker
18.1 Introduction 269
18.2 The ISD and regulated markets 269
18.3 Need for a new European directive? 272
18.4 Conclusion 273
19 A European Directive for Regulated Markets? A French
Reaction 275
Fabrice Demarigny
19.1 Modernisation of Financial Activities Act of
2 July 1996 275
19.2 A European directive for regulated markets? 278
20 Regulation of the Relationship between European Union Stock
Exchanges: Lessons from the United States 283
Hal S. Scott
20.1 Introduction 283
20.2 The US National Market System 283
20.3 Does the European Union need NMS? 288
20.4 Conclusion 292
x Contents
21 Derivatives Clearing Houses: The Regulatory Challenge 295
Richard Dale
21.1 Introduction 295
21.2 Financial safeguards in derivatives clearing houses 296
21.3 The regulatory issues 300
21.4 The international regulatory response 306
21.5 Summary and conclusions 311
Part VI Enforcement and Taxation
22 The Enforcement of the European Regime for Investment
Services in the Member States and its Impact on National
Conflict of Laws 317
Sergio M. Carbone and Francesco Munari
22.1 Introductory remarks 317
22.2 Directive 93/22 and its relevant aspects for conflict
of laws issues 323
22.3 Choice of law implications of the legal framework
set out in the ISD 327
22.4 Conflict of laws' exceptions to the broadest possible
application of the home country law 340
22.5 Consumer protection issues in the host state 350
22.6 Some consequences of the favor offerentis on the
implementation of the ISD 356
22.7 (Non) conclusions: race to the bottom versus competition
merits among legal systems 359
23 Cooperation among Supervisory Authorities under the ISD 363
Carlo Biancheri
23.1 The importance of cooperation among supervisory
authorities 363
23.2 Authorisation to conduct securities business and
maintenance of the conditions 365
23.3 Inspections 368
23.4 Information and cooperation with other persons 369
23.5 Information and cooperation concerning markets 369
23.6 Conclusion 370
24 Cooperation between Supervisors 373
Susanne Bergstrdsser
24.1 General 373
24.2 IOSCO'srole 373
24.3 The European directives 375
24.4 Memoranda of Understanding between supervisors 376
Contents xi
24.5 MoUs and the European directives 378
24.6 Other documents on cooperation 380
25 International Tax Aspects of Portfolio Investment 383
Jaap van Hoorn Jr
25.1 Introduction 383
25.2 The issue 384
25.3 Domestic and international tax law 387
25.4 Tax harmonisation 390
25.5 Concluding remarks 392
Index 393 |
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| discipline | Rechtswissenschaft Wirtschaftswissenschaften |
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| id | DE-604.BV011906824 |
| illustrated | Not Illustrated |
| indexdate | 2025-01-02T09:12:23Z |
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| publisher | Kluwer Law Internat. |
| record_format | marc |
| spelling | European securities markets the investment services directive and beyond ed.: Guido Ferrarini 1. publ. London [u.a.] Kluwer Law Internat. 1998 XX, 406 S. txt rdacontent n rdamedia nc rdacarrier Europäische Union (DE-588)5098525-5 gnd rswk-swf Bankwezen gtt Bourse - Droit - Pays de l'Union européenne ram Bourse - Droit européen ram Kapitaalmarkt gtt Marché financier - Droit - Pays de l'Union européenne ram Marché financier - Droit européen ram Risk management gtt Valeurs mobilières - Droit - Pays de l'Union européenne ram Valeurs mobilières - Droit européen ram Recht Securities -- European Union countries Stock exchanges -- Law and legislation -- European Union countries Mutual funds -- Law and legislation -- European Union countries Securities -- Europe Stock exchanges -- Law and legislation -- Europe Mutual funds -- Law and legislation -- Europe Regulierung (DE-588)4201190-5 gnd rswk-swf Kapitalmarkt (DE-588)4029578-3 gnd rswk-swf Wertpapierrecht (DE-588)4065682-2 gnd rswk-swf Rechtsvereinheitlichung (DE-588)4048849-4 gnd rswk-swf Europa Europäische Union. Mitgliedsstaaten (DE-588)1071861417 Konferenzschrift 1996 Genua gnd-content Europäische Union (DE-588)5098525-5 b Wertpapierrecht (DE-588)4065682-2 s Rechtsvereinheitlichung (DE-588)4048849-4 s DE-604 Kapitalmarkt (DE-588)4029578-3 s Regulierung (DE-588)4201190-5 s Ferrarini, Guido Sonstige (DE-588)124266495 oth HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=008047071&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | European securities markets the investment services directive and beyond Europäische Union (DE-588)5098525-5 gnd Bankwezen gtt Bourse - Droit - Pays de l'Union européenne ram Bourse - Droit européen ram Kapitaalmarkt gtt Marché financier - Droit - Pays de l'Union européenne ram Marché financier - Droit européen ram Risk management gtt Valeurs mobilières - Droit - Pays de l'Union européenne ram Valeurs mobilières - Droit européen ram Recht Securities -- European Union countries Stock exchanges -- Law and legislation -- European Union countries Mutual funds -- Law and legislation -- European Union countries Securities -- Europe Stock exchanges -- Law and legislation -- Europe Mutual funds -- Law and legislation -- Europe Regulierung (DE-588)4201190-5 gnd Kapitalmarkt (DE-588)4029578-3 gnd Wertpapierrecht (DE-588)4065682-2 gnd Rechtsvereinheitlichung (DE-588)4048849-4 gnd |
| subject_GND | (DE-588)5098525-5 (DE-588)4201190-5 (DE-588)4029578-3 (DE-588)4065682-2 (DE-588)4048849-4 (DE-588)1071861417 |
| title | European securities markets the investment services directive and beyond |
| title_auth | European securities markets the investment services directive and beyond |
| title_exact_search | European securities markets the investment services directive and beyond |
| title_full | European securities markets the investment services directive and beyond ed.: Guido Ferrarini |
| title_fullStr | European securities markets the investment services directive and beyond ed.: Guido Ferrarini |
| title_full_unstemmed | European securities markets the investment services directive and beyond ed.: Guido Ferrarini |
| title_short | European securities markets |
| title_sort | european securities markets the investment services directive and beyond |
| title_sub | the investment services directive and beyond |
| topic | Europäische Union (DE-588)5098525-5 gnd Bankwezen gtt Bourse - Droit - Pays de l'Union européenne ram Bourse - Droit européen ram Kapitaalmarkt gtt Marché financier - Droit - Pays de l'Union européenne ram Marché financier - Droit européen ram Risk management gtt Valeurs mobilières - Droit - Pays de l'Union européenne ram Valeurs mobilières - Droit européen ram Recht Securities -- European Union countries Stock exchanges -- Law and legislation -- European Union countries Mutual funds -- Law and legislation -- European Union countries Securities -- Europe Stock exchanges -- Law and legislation -- Europe Mutual funds -- Law and legislation -- Europe Regulierung (DE-588)4201190-5 gnd Kapitalmarkt (DE-588)4029578-3 gnd Wertpapierrecht (DE-588)4065682-2 gnd Rechtsvereinheitlichung (DE-588)4048849-4 gnd |
| topic_facet | Europäische Union Bankwezen Bourse - Droit - Pays de l'Union européenne Bourse - Droit européen Kapitaalmarkt Marché financier - Droit - Pays de l'Union européenne Marché financier - Droit européen Risk management Valeurs mobilières - Droit - Pays de l'Union européenne Valeurs mobilières - Droit européen Recht Securities -- European Union countries Stock exchanges -- Law and legislation -- European Union countries Mutual funds -- Law and legislation -- European Union countries Securities -- Europe Stock exchanges -- Law and legislation -- Europe Mutual funds -- Law and legislation -- Europe Regulierung Kapitalmarkt Wertpapierrecht Rechtsvereinheitlichung Europa Europäische Union. Mitgliedsstaaten Konferenzschrift 1996 Genua |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=008047071&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| work_keys_str_mv | AT ferrariniguido europeansecuritiesmarketstheinvestmentservicesdirectiveandbeyond |