The MiFID revolution:
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| Main Authors: | , |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
Cambridge [u.a.]
Cambridge Univ. Press
2009
|
| Edition: | 1. publ. |
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Physical Description: | XII, 228 S. graph. Darst. |
| ISBN: | 9780521518635 |
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Record in the Search Index
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| adam_text | TABLE OF CONTENTS LIST OF ILLUSTRATIONS X PREFACE XI INTRODUCTION 1 1
THE MIFID REVOLUTION 6 1. TEN KEY PREDICTIONS ON THE IMPACT OF MIFID 7
2. DELAYED IMPLEMENTATION BY THE MEMBER STATES 10 3. DELAYED
PREPAREDNESS WITH FIRMS 11 4. MARKET IMPACT 13 4.1 INVESTMENT FIRMS 14
4.2 EXCHANGES 16 4.3 ADVISORY FIRMS AND SOLUTION PROVIDERS 21 5. OUTLOOK
23 REFERENCES 24 2 ORIGINS AND STRUCTURE OF MIFID 26 1. THE ISD AND THE
DEVELOPMENT OF EUROPEAN CAPITAL MARKETS 26 2. THE ISD REVIEW AND THE
ORIGINS OF MIFID 29 3. THE KEY ELEMENTS OF THE MIFID REGIME 33 3.1 AN
OVERVIEW OF THE MAIN ISSUES ADDRESSED BY MIFID LEVEL 1 35 3.2 A NOTE ON
THE PROCESS FOR THE IMPLEMENTATION OF MIFID (LAMFALUSSY PROCESS) 36 4.
THE STRUCTURE OF MIFID 38 4.1 CLIENT SUITABILITY AND APPROPRIATENESS 41
4.2 BEST EXECUTION 41 4.3 CONFLICT OF INTEREST 42 4.4 PRICE TRANSPARENCY
43 5. CONCLUSION 44 REFERENCES 44 VI TABLE OF CONTENTS 3 CLIENT
SUITABILITY AND APPROPRIATENESS UNDER MIFID 45 1. INTRODUCTION 45 2.
MIFID CLIENTS CLASSIFICATION 46 3. THE SUITABILITY AND APPROPRIATENESS
TESTS 48 3.1 THE SUITABILITY ASSESSMENT 48 3.2 THE APPROPRIATENESS
ASSESSMENT 49 4. THE BUSINESS IMPLICATIONS OF IMPLEMENTING THE NEW RULES
53 5. CONCLUSION 57 REFERENCES 57 4 BEST EXECUTION 58 1. THE ORIGINS OF
THE CONCEPT OF BEST EXECUTION 59 2. THE ECONOMICS OF BEST EXECUTION 60
3. MEASURING BEST EXECUTION 62 4. REGULATION OF BEST EXECUTION PRE-MIFID
64 5. THE MIFID RULES 65 6. APPLICATION OF MIFID S BEST EXECUTION
REQUIREMENTS TO NON-EQUITY INSTRUMENTS: FIXED INCOME AND STRUCTURED
PRODUCTS 70 7. IMPLEMENTING AND MONITORING A BEST EXECUTION STRATEGY 73
REFERENCES 75 5 FINANCIAL MARKET DATA AND MIFID 78 1. INTRODUCTION 78 2.
THE FINANCIAL MARKET DATA BUSINESS 79 3. THE MIFID REGIME AND ITS
IMPLEMENTATION 81 4. WILL A MARKET-LED APPROACH TO DATA CONSOLIDATION
WORK? 85 5. MARKET DATA CONSOLIDATION UNDER THE US NMS RULE 88 6.
CONCLUSION 89 REFERENCES 90 6 MANAGING CONFLICTS OF INTEREST: FROM ISD
TO MIFID 91 1. CONFLICTS OF INTEREST AT THE HEART OF FINANCIAL SERVICES
91 2. EVOLUTION OF EUROPEAN LAW ON CONFLICTS OF INTEREST MANAGEMENT IN
FINANCE 93 3. DIFFERENCES BETWEEN MIFID AND THE ISD ON CONFLICTS 98
TABLE OF CONTENTS 3.1 SCOPE 99 3.2 REQUIREMENT TO MANAGE CONFLICTS 100
3.3 INDUCEMENTS 100 3.4 FORMA] CONFLICTS POLICY 100 3.5 RECORD-KEEPING
100 4. IDENTIFYING CONFLICTS OF INTEREST 101 4.1 THE THEORY: AN ANATOMY
OF CONFLICTS 101 5. MANAGING CONFLICTS OF INTEREST 108 6. MAINTAINING
EFFECTIVE PROCEDURES AND CONTROLS 110 REFERENCES 112 THE MIFID APPROACH
TO INDUCEMENTS - IMPERFECT TOOLS FOR A WORTHY POLICY OBJECTIVE 114 1.
INTRODUCTION 114 2. IMPLEMENTING THE MIFID INDUCEMENTS RULES 114 2.1
REGULATING DISTRIBUTION MODELS: THE PROS AND THE CONS 114 2.2 POLICY
OBJECTIVES OF INDUCEMENTS RULES 116 2.3 LAMFALUSSY LEVEL 3 WORK ON
INDUCEMENTS 117 2.4 HOW FIRMS CAN JUSTIFY ACCEPTING TRAIL COMMISSION
POST-MIFID 121 3. POINTS OF UNCERTAINTY AROUND MIFID S INDUCEMENTS RULES
124 3.1 WHETHER TIERED COMMISSION ARRANGEMENTS ARE ALLOWED 125 3.1.1
MAKING TIERED COMMISSION ARRANGEMENTS MIFID-COMPLIANT 127 3.2 WHETHER
THE INDUCEMENTS DISCLOSURE APPLIES RETROSPECTIVELY TO EXISTING CLIENTS
128 3.3 THE FORM OF INDUCEMENTS DISCLOSURE - WHAT IS REQUIRED? 131 3.4
RENEGOTIATING COMMISSION ARRANGEMENTS - DO THEY NEED TO BE RE-DISCLOSED
AND AGREED BY CLIENTS? 134 4. CONCLUSION 136 4.1 THE LACK OF CLARITY
COULD LEAD TO AN UNEVEN PLAYING FIELD ON A PAN-EUROPEAN LEVEL 136 4.2
TOO DETAILED INDUCEMENTS DISCLOSURE MAY PARADOXICALLY RESULT IN WORSE
OUTCOMES FOR CLIENTS OF FIRMS WITH LARGE DISTRIBUTION CHANNELS 137 4.3
THE WAY THE DISCLOSURE REQUIREMENTS ARE FORMULATED MAY ACTUALLY INCREASE
THE RISK OF COMMISSION BIAS 137 ANNEX I: MAKING INDUCEMENTS
MIFID-COMPLIANT 139 REFERENCES 139 VIII TABLE OF CONTENTS 8 MIFID S
IMPACT ON THE FUND MANAGEMENT INDUSTRY 141 1. INTRODUCTION 141 2. UNEVEN
PLAYING FIELDS? 144 2.1 BEST EXECUTION 144 2.2 OUTSOURCING 145 2.3 FACT
DISCLOSURES 145 2.4 CONFLICTS OF INTEREST 146 2.5 INDUCEMENTS 147 3.
FURTHER IMPACT OF MIFID ON THE ASSET MANAGEMENT SECTOR 149 4. MIFID AND
THE DISTRIBUTION OF NON-HARMONIZED PRODUCTS 151 REFERENCES 156 9 MIFID
AND BOND MARKET TRANSPARENCY 158 1. INTRODUCTION 158 2. WHY REGULATE
TRANSPARENCY? 159 3. ARGUMENTS IN FAVOUR OF MORE TRANSPARENCY 161 3.1
ACHIEVING AND VERIFYING BEST EXECUTION 161 3.2 VALUATION AND ASSET
ALLOCATION 162 3.3 LOWERING TRANSACTION COSTS 162 3.4 ESSENTIAL
NON-PRICE INFORMATION CAPTURED IN BOND PRICES 163 3.5 DATA CONSOLIDATION
163 3.6 LEVELLING THE PLAYING FIELD 164 3.7 INDEX CONSTRUCTION 165 3.8
IMPROVING LIQUIDITY 165 3.9 ENHANCING DISCLOSURE OF FINANCIAL RISKS 166
4. ARGUMENTS AGAINST MORE TRANSPARENCY 167 4.1 COULD DAMAGE LIQUIDITY
167 4.2 OTHER INSTRUMENTS BETTER SUITED FOR RETAIL INVESTOR PROTECTION
168 4.3 NO CLEAR EVIDENCE OF A MARKET FAILURE 169 5. LESSONS FROM TRACE
169 6. WHAT KIND OF TRANSPARENCY IS WARRANTED? 174 7. WILL MARKET-LED
INITIATIVES IMPROVE TRANSPARENCY? 175 REFERENCES 178 TABLE OF CONTENTS
IX 10 THE DIVISION OF HOME AND HOST COUNTRY COMPETENCES UNDER MIFID 179
1. INTRODUCTION 179 2. THELSD 180 3. MIFID S RULE-MAKING 183 3.1
PRUDENTIAL RULES 183 3.2 TRANSACTIONAL RULES 184 3.3 CONTRACTUAL RULES
187 4. SUPERVISION AND ENFORCEMENT UNDER MIFID 190 5. ACCESS TO
REGULATED MARKETS AND CLEARING AND SETTLEMENT SYSTEMS UNDER MIFID 192 6.
MIFID S WEAKNESSES AND SHORTCOMINGS 194 7. CONCLUSION 196 REFERENCES 197
11 MIFID AND REG NMS: A TEST-CASE FOR SUBSTITUTED COMPLIANCE ? 199 1.
INTRODUCTION 199 2. MIFID AND REG NMS IN A NUTSHELL 200 2.1 MIFID 201
2.2 REG NMS 202 3. COMPARATIVE EFFECTS OF MIFID AND REG NMS 207 4. A
TEST-CASE FOR SUBSTITUTED COMPLIANCE ? 209 5. CONCLUSION 212 REFERENCES
213 GLOSSARY 215 ANNEX I LIST OF SERVICES AND ACTIVITIES AND FINANCIAL
INSTRUMENTS FALLING UNDER THE MIFID S SCOPE 219 BIBLIOGRAPHY 221 INDEX
223
|
| adam_txt |
TABLE OF CONTENTS LIST OF ILLUSTRATIONS X PREFACE XI INTRODUCTION 1 1
THE MIFID REVOLUTION 6 1. TEN KEY PREDICTIONS ON THE IMPACT OF MIFID 7
2. DELAYED IMPLEMENTATION BY THE MEMBER STATES 10 3. DELAYED
PREPAREDNESS WITH FIRMS 11 4. MARKET IMPACT 13 4.1 INVESTMENT FIRMS 14
4.2 EXCHANGES 16 4.3 ADVISORY FIRMS AND SOLUTION PROVIDERS 21 5. OUTLOOK
23 REFERENCES 24 2 ORIGINS AND STRUCTURE OF MIFID 26 1. THE ISD AND THE
DEVELOPMENT OF EUROPEAN CAPITAL MARKETS 26 2. THE ISD REVIEW AND THE
ORIGINS OF MIFID 29 3. THE KEY ELEMENTS OF THE MIFID REGIME 33 3.1 AN
OVERVIEW OF THE MAIN ISSUES ADDRESSED BY MIFID LEVEL 1 35 3.2 A NOTE ON
THE PROCESS FOR THE IMPLEMENTATION OF MIFID (LAMFALUSSY PROCESS) 36 4.
THE STRUCTURE OF MIFID 38 4.1 CLIENT SUITABILITY AND APPROPRIATENESS 41
4.2 BEST EXECUTION 41 4.3 CONFLICT OF INTEREST 42 4.4 PRICE TRANSPARENCY
43 5. CONCLUSION 44 REFERENCES 44 VI TABLE OF CONTENTS 3 CLIENT
SUITABILITY AND APPROPRIATENESS UNDER MIFID 45 1. INTRODUCTION 45 2.
MIFID CLIENTS'CLASSIFICATION 46 3. THE SUITABILITY AND APPROPRIATENESS
TESTS 48 3.1 THE SUITABILITY ASSESSMENT 48 3.2 THE APPROPRIATENESS
ASSESSMENT 49 4. THE BUSINESS IMPLICATIONS OF IMPLEMENTING THE NEW RULES
53 5. CONCLUSION 57 REFERENCES 57 4 BEST EXECUTION 58 1. THE ORIGINS OF
THE CONCEPT OF BEST EXECUTION 59 2. THE ECONOMICS OF BEST EXECUTION 60
3. MEASURING BEST EXECUTION 62 4. REGULATION OF BEST EXECUTION PRE-MIFID
64 5. THE MIFID RULES 65 6. APPLICATION OF MIFID'S BEST EXECUTION
REQUIREMENTS TO NON-EQUITY INSTRUMENTS: FIXED INCOME AND STRUCTURED
PRODUCTS 70 7. IMPLEMENTING AND MONITORING A BEST EXECUTION STRATEGY 73
REFERENCES 75 5 FINANCIAL MARKET DATA AND MIFID 78 1. INTRODUCTION 78 2.
THE FINANCIAL MARKET DATA BUSINESS 79 3. THE MIFID REGIME AND ITS
IMPLEMENTATION 81 4. WILL A MARKET-LED APPROACH TO DATA CONSOLIDATION
WORK? 85 5. MARKET DATA CONSOLIDATION UNDER THE US NMS RULE 88 6.
CONCLUSION 89 REFERENCES 90 6 MANAGING CONFLICTS OF INTEREST: FROM ISD
TO MIFID 91 1. CONFLICTS OF INTEREST AT THE HEART OF FINANCIAL SERVICES
91 2. EVOLUTION OF EUROPEAN LAW ON CONFLICTS OF INTEREST MANAGEMENT IN
FINANCE 93 3. DIFFERENCES BETWEEN MIFID AND THE ISD ON CONFLICTS 98
TABLE OF CONTENTS 3.1 SCOPE 99 3.2 REQUIREMENT TO MANAGE CONFLICTS 100
3.3 INDUCEMENTS 100 3.4 FORMA] CONFLICTS POLICY 100 3.5 RECORD-KEEPING
100 4. IDENTIFYING CONFLICTS OF INTEREST 101 4.1 THE THEORY: AN ANATOMY
OF CONFLICTS 101 5. MANAGING CONFLICTS OF INTEREST 108 6. MAINTAINING
EFFECTIVE PROCEDURES AND CONTROLS 110 REFERENCES 112 THE MIFID APPROACH
TO INDUCEMENTS - IMPERFECT TOOLS FOR A WORTHY POLICY OBJECTIVE 114 1.
INTRODUCTION 114 2. IMPLEMENTING THE MIFID INDUCEMENTS RULES 114 2.1
REGULATING DISTRIBUTION MODELS: THE PROS AND THE CONS 114 2.2 POLICY
OBJECTIVES OF INDUCEMENTS RULES 116 2.3 LAMFALUSSY LEVEL 3 WORK ON
INDUCEMENTS 117 2.4 HOW FIRMS CAN JUSTIFY ACCEPTING TRAIL COMMISSION
POST-MIFID 121 3. POINTS OF UNCERTAINTY AROUND MIFID'S INDUCEMENTS RULES
124 3.1 WHETHER TIERED COMMISSION ARRANGEMENTS ARE ALLOWED 125 3.1.1
MAKING TIERED COMMISSION ARRANGEMENTS MIFID-COMPLIANT 127 3.2 WHETHER
THE INDUCEMENTS DISCLOSURE APPLIES RETROSPECTIVELY TO EXISTING CLIENTS
128 3.3 THE FORM OF INDUCEMENTS DISCLOSURE - WHAT IS REQUIRED? 131 3.4
RENEGOTIATING COMMISSION ARRANGEMENTS - DO THEY NEED TO BE RE-DISCLOSED
AND AGREED BY CLIENTS? 134 4. CONCLUSION 136 4.1 THE LACK OF CLARITY
COULD LEAD TO AN UNEVEN PLAYING FIELD ON A PAN-EUROPEAN LEVEL 136 4.2
TOO DETAILED INDUCEMENTS DISCLOSURE MAY PARADOXICALLY RESULT IN WORSE
OUTCOMES FOR CLIENTS OF FIRMS WITH LARGE DISTRIBUTION CHANNELS 137 4.3
THE WAY THE DISCLOSURE REQUIREMENTS ARE FORMULATED MAY ACTUALLY INCREASE
THE RISK OF COMMISSION BIAS 137 ANNEX I: MAKING INDUCEMENTS
MIFID-COMPLIANT 139 REFERENCES 139 VIII TABLE OF CONTENTS 8 MIFID'S
IMPACT ON THE FUND MANAGEMENT INDUSTRY 141 1. INTRODUCTION 141 2. UNEVEN
PLAYING FIELDS? 144 2.1 BEST EXECUTION 144 2.2 OUTSOURCING 145 2.3 FACT
DISCLOSURES 145 2.4 CONFLICTS OF INTEREST 146 2.5 INDUCEMENTS 147 3.
FURTHER IMPACT OF MIFID ON THE ASSET MANAGEMENT SECTOR 149 4. MIFID AND
THE DISTRIBUTION OF NON-HARMONIZED PRODUCTS 151 REFERENCES 156 9 MIFID
AND BOND MARKET TRANSPARENCY 158 1. INTRODUCTION 158 2. WHY REGULATE
TRANSPARENCY? 159 3. ARGUMENTS IN FAVOUR OF MORE TRANSPARENCY 161 3.1
ACHIEVING AND VERIFYING BEST EXECUTION 161 3.2 VALUATION AND ASSET
ALLOCATION 162 3.3 LOWERING TRANSACTION COSTS 162 3.4 ESSENTIAL
NON-PRICE INFORMATION CAPTURED IN BOND PRICES 163 3.5 DATA CONSOLIDATION
163 3.6 LEVELLING THE PLAYING FIELD 164 3.7 INDEX CONSTRUCTION 165 3.8
IMPROVING LIQUIDITY 165 3.9 ENHANCING DISCLOSURE OF FINANCIAL RISKS 166
4. ARGUMENTS AGAINST MORE TRANSPARENCY 167 4.1 COULD DAMAGE LIQUIDITY
167 4.2 OTHER INSTRUMENTS BETTER SUITED FOR RETAIL INVESTOR PROTECTION
168 4.3 NO CLEAR EVIDENCE OF A MARKET FAILURE 169 5. LESSONS FROM TRACE
169 6. WHAT KIND OF TRANSPARENCY IS WARRANTED? 174 7. WILL MARKET-LED
INITIATIVES IMPROVE TRANSPARENCY? 175 REFERENCES 178 TABLE OF CONTENTS
IX 10 THE DIVISION OF HOME AND HOST COUNTRY COMPETENCES UNDER MIFID 179
1. INTRODUCTION 179 2. THELSD 180 3. MIFID'S RULE-MAKING 183 3.1
PRUDENTIAL RULES 183 3.2 TRANSACTIONAL RULES 184 3.3 CONTRACTUAL RULES
187 4. SUPERVISION AND ENFORCEMENT UNDER MIFID 190 5. ACCESS TO
REGULATED MARKETS AND CLEARING AND SETTLEMENT SYSTEMS UNDER MIFID 192 6.
MIFID'S WEAKNESSES AND SHORTCOMINGS 194 7. CONCLUSION 196 REFERENCES 197
11 MIFID AND REG NMS: A TEST-CASE FOR 'SUBSTITUTED COMPLIANCE'? 199 1.
INTRODUCTION 199 2. MIFID AND REG NMS IN A NUTSHELL 200 2.1 MIFID 201
2.2 REG NMS 202 3. COMPARATIVE EFFECTS OF MIFID AND REG NMS 207 4. A
TEST-CASE FOR 'SUBSTITUTED COMPLIANCE'? 209 5. CONCLUSION 212 REFERENCES
213 GLOSSARY 215 ANNEX I LIST OF SERVICES AND ACTIVITIES AND FINANCIAL
INSTRUMENTS FALLING UNDER THE MIFID'S SCOPE 219 BIBLIOGRAPHY 221 INDEX
223 |
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| id | DE-604.BV035124849 |
| illustrated | Illustrated |
| index_date | 2024-07-02T22:22:28Z |
| indexdate | 2024-07-09T21:22:53Z |
| institution | BVB |
| isbn | 9780521518635 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-016792448 |
| oclc_num | 694833981 |
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| physical | XII, 228 S. graph. Darst. |
| publishDate | 2009 |
| publishDateSearch | 2009 |
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| publisher | Cambridge Univ. Press |
| record_format | marc |
| spelling | Casey, Jean-Pierre Verfasser aut The MiFID revolution J.-P. Casey and K. Lannoo 1. publ. Cambridge [u.a.] Cambridge Univ. Press 2009 XII, 228 S. graph. Darst. txt rdacontent n rdamedia nc rdacarrier Europäische Union Richtlinie über Märkte für Finanzinstrumente (DE-588)7580161-9 gnd rswk-swf Financial instruments / European Union countries Europäische Union. Mitgliedsstaaten Europäische Union Richtlinie über Märkte für Finanzinstrumente (DE-588)7580161-9 u b DE-604 Lannoo, Karel Verfasser (DE-588)171265157 aut SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016792448&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Casey, Jean-Pierre Lannoo, Karel The MiFID revolution Europäische Union Richtlinie über Märkte für Finanzinstrumente (DE-588)7580161-9 gnd Financial instruments / European Union countries |
| subject_GND | (DE-588)7580161-9 |
| title | The MiFID revolution |
| title_auth | The MiFID revolution |
| title_exact_search | The MiFID revolution |
| title_exact_search_txtP | The MiFID revolution |
| title_full | The MiFID revolution J.-P. Casey and K. Lannoo |
| title_fullStr | The MiFID revolution J.-P. Casey and K. Lannoo |
| title_full_unstemmed | The MiFID revolution J.-P. Casey and K. Lannoo |
| title_short | The MiFID revolution |
| title_sort | the mifid revolution |
| topic | Europäische Union Richtlinie über Märkte für Finanzinstrumente (DE-588)7580161-9 gnd Financial instruments / European Union countries |
| topic_facet | Europäische Union Richtlinie über Märkte für Finanzinstrumente Financial instruments / European Union countries Europäische Union. Mitgliedsstaaten |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016792448&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| work_keys_str_mv | AT caseyjeanpierre themifidrevolution AT lannookarel themifidrevolution |