Liability of asset managers:
Gespeichert in:
| Format: | Buch |
|---|---|
| Sprache: | English |
| Veröffentlicht: |
Oxford [u.a.]
Oxford Univ. Press
2012
|
| Ausgabe: | 1. publ. |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | Includes bibliographical references and index |
| Beschreibung: | LIV, 564 S. 25 cm |
Internformat
MARC
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| 020 | |z 9780199608737 |c hbk |9 978-0-19-960873-7 | ||
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| 245 | 1 | 0 | |a Liability of asset managers |c ed. by Danny Busch ... |
| 250 | |a 1. publ. | ||
| 264 | 1 | |a Oxford [u.a.] |b Oxford Univ. Press |c 2012 | |
| 300 | |a LIV, 564 S. |c 25 cm | ||
| 336 | |b txt |2 rdacontent | ||
| 337 | |b n |2 rdamedia | ||
| 338 | |b nc |2 rdacarrier | ||
| 500 | |a Includes bibliographical references and index | ||
| 650 | 4 | |a Investment advisors / Legal status, laws, etc | |
| 650 | 4 | |a Securities industry / Law and legislation | |
| 650 | 4 | |a Recht | |
| 700 | 1 | |a Busch, Danny |e Sonstige |4 oth | |
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| 999 | |a oai:aleph.bib-bvb.de:BVB01-024849412 | ||
Datensatz im Suchindex
| _version_ | 1804148981669822464 |
|---|---|
| adam_text | IMAGE 1
TABLE OF CONTENTS
PREFACE XI
TABLE OF CASES XIII
TABLE OF LEGISLATION XXIX
TABLE OF INTERNATIONAL CONVENTIONS, AGREEMENTS ETC XLVIII
LIST OF ABBREVIATIONS XLIX
LIST OF CONTRIBUTORS LIII
PARTI INTRODUCTION
1. INTRODUCTION DANNY BUSCH AND DEBORAH A. DEMOTT I. SCOPE OF THE BOOK
1.01
II. REGULATION AND LIABILITY IN CONTEXT 1.14
PART II EULAW
2. THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND ASSET MANAGEMENT
CHRISTELM. GRUNDMANN-VAN DE KROL I. INTRODUCTION 2.01
II. ORIGIN OF MIFID 2.02
III. SCOPE OF MIFID AND ITS RELATIONSHIP TO COLLECTIVE ASSET MANAGEMENT
2.08
IV. STRUCTURE OF MIFID AND THE ROLE OF CESR UNTIL 1 JANUARY 2011 2.13
V. NEW EUROPEAN FINANCIAL SUPERVISORY ARCHITECTURE: TASKS AND POWERS OF
ESMA 2.20
VI. CONDITIONS FOR AUTHORIZATION OF INVESTMENT FIRMS 2.24
VII. OPERATING CONDITIONS: CONDUCT OF BUSINESS RULES 2.57
VIII. BEST EXECUTION 2.95
IX. REVIEW OF MIFID: MIFID II 2.103
PART III CIVIL LAW LEGAL SYSTEMS
3. FRANCE ALAIN COURET, PHILIPPE GOUTAY, AND BRUNO ZABALA
I. INTRODUCTION 3.01
II. DEFINITIONS AND QUALIFICATIONS 3.07
III. THE REGULATORY FRAMEWORK 3.19
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 3.46
V. LIABILITY OF AN ASSET MANAGER 3.64
IMAGE 2
CONTENTS
VI. GOVERNING LAW AND DISPUTE RESOLUTION 3.139
VII. CONCLUSIONS 3.160
4. GERMANY MATTHIAS CASPER AND CHRISTIAN ALTGEN
I. INTRODUCTION 4.01
II. DEFINITIONS AND QUALIFICATIONS 4.03
III. THE REGULATORY FRAMEWORK 4.11
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 4.37
V. LIABILITY OF AN ASSET MANAGER 4.82
VI. GOVERNING LAW AND DISPUTE RESOLUTION 4.147
VII. CONCLUSIONS 4.152
5. ITALY PAOLO GIUDICI AND MATTEO BET
I. INTRODUCTION 5.01
II. DEFINITIONS AND QUALIFICATIONS 5.06
III. THE REGULATORY FRAMEWORK 5.16
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 5.42
V. LIABILITY OF AN ASSET MANAGER 5.62
VI. GOVERNING LAW AND DISPUTE RESOLUTION 5.114
VII. CONCLUSIONS 5.121
6. LUXEMBOURG ISABELLE RIASSETTO AND JEAN-FLORENT RICHARD
I. INTRODUCTION 6.01
II. DEFINITIONS AND QUALIFICATIONS 6.13
III. THE REGULATORY FRAMEWORK 6.19
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 6.61
V. LIABILITY OF AN ASSET MANAGER 6.78
VI. GOVERNING LAW AND DISPUTE RESOLUTION 6.127
VII. CONCLUSIONS 6.138
7. THE NETHERLANDS DANNY BUSCH AND LARISSA SILVERENTAND
I. INTRODUCTION 7.01
II. DEFINITIONS AND QUALIFICATIONS 7.07
III. THE REGULATORY FRAMEWORK 7.16
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 7.56
V. LIABILITY OF AN ASSET MANAGER 7.85
VI. GOVERNING LAW AND DISPUTE RESOLUTION 7.187
VII. CONCLUSIONS 7 196
VI
IMAGE 3
CONTENTS
8. POLAND ANDRZEJ W KAWECKI
I. INTRODUCTION 8.01
II. DEFINITIONS AND QUALIFICATIONS 8.07
III. THE REGULATORY FRAMEWORK 8.12
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 8.44
V. LIABILITY OF AN ASSET MANAGER 8.61
VI. GOVERNING LAW AND DISPUTE RESOLUTION 8.81
VII. CONCLUSIONS 8.87
9. SPAIN SALVADOR RUIZ BACHS ANDEMILIO DIAZ RUIZ I. INTRODUCTION 9.01
II. DEFINITIONS AND QUALIFICATIONS 9.02
III. THE REGULATORY FRAMEWORK 9.09
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 9.28
V. LIABILITY OF AN ASSET MANAGER 9.59
VI. GOVERNING LAW AND DISPUTE RESOLUTION 9.87
VII. JURISDICTION-SPECIFIC ISSUES 9.92
VIII. CONCLUSION 9.93
10. SWITZERLAND LUC THEVENOZ AND CLAUDE BRETTON-CHEVALLIER I.
INTRODUCTION 10.01
II. DEFINITION AND CHARACTERIZATION OF THE ASSET MANAGEMENT CONTRACT
10.03 III. REGULATION AND SELF-REGULATION 10.09
IV. DUTIES AND STANDARDS 10.20
V. LIABILITY 10.58
VI. GOVERNING LAW AND DISPUTE RESOLUTION 10.98
VII. CONCLUSION 10.104
PART IV COMMON LAW LEGAL SYSTEMS
11. ENGLAND AND WALES LODEWIJK VAN SETTEN AND TIM PLEWS I. INTRODUCTION
11.01
II. DEFINITIONS AND QUALIFICATIONS 11.02
III. THE REGULATORY FRAMEWORK 11.10
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 11.24
V. LIABILITY OF AN ASSET MANAGER 11.67
VI. GOVERNING LAW AND DISPUTE RESOLUTION 11.116
VII. CONCLUSIONS 11.118
IMAGE 4
12. IRELAND
ANDREW BATES ANDBLANAID CLARKE
I. II. III. IV.
V. VI. VII.
VIII
INTRODUCTION DEFINITIONS AND QUALIFICATIONS THE REGULATORY FRAMEWORK THE
PRIVATE LAW DUTIES OF AN ASSET MANAGER LIABILITY OF AN ASSET MANAGER
GOVERNING LAW AND DISPUTE RESOLUTION JURISDICTION-SPECIFIC ISSUES .
CONCLUSIONS
CONTENTS
12.01 12.06 12.11
12.45 12.78 12.134 12.138 12.145
13 . UNITED STATES OF AMERICA DEBORAH A. DEMOTT AND ARTHUR B. LABY I.
INTRODUCTION 13.01
II. DEFINITIONS AND QUALIFICATIONS 13.06
III. THE REGULATORY FRAMEWORK: INSTITUTIONS, PROCESSES, AND RULES 13.15
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 13.94
V. LIABILITY OF AN ASSET MANAGER 13.112
VI. GOVERNING LAW AND DISPUTE RESOLUTION 13.154
VII. JURISDICTION-SPECIFIC ISSUES 13.157
VIII. CONCLUSIONS 13-164
PARTV MIXED LEGAL SYSTEMS
14. CANADA PAMELA HUGHES AND CALLY JORDAN I. INTRODUCTION 14.01
II. DEFINITIONS AND QUALIFICATIONS 14.14
III. THE REGULATORY FRAMEWORK: INSTITUTIONS, PROCESSES, AND RULES 14.36
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 14.102
V. LIABILITY OF AN ASSET MANAGER 14.131
VI. GOVERNING LAW AND DISPUTE RESOLUTION 14.203
VII. JURISDICTION-SPECIFIC ISSUES 14.208
VIII. CONCLUSIONS 14.209
15. SCOTLAND DAVID CABRELLI
I. INTRODUCTION 15.01
II. DEFINITIONS AND QUALIFICATIONS 15-06
III. THE REGULATORY FRAMEWORK 15.11
IV. THE PRIVATE LAW DUTIES OF AN ASSET MANAGER 15.12
V. LIABILITY OF AN ASSET MANAGER 15.32
VI. GOVERNING LAW AND DISPUTE RESOLUTION 15.49
VII. CONCLUSIONS 15.51
VIA
IMAGE 5
CONTENTS
PART VI CONCLUSION
16. COMPARATIVE ANALYSIS OF THE JURISDICTIONS-THE IMPACT OF REGULATORY
FRAMEWORKS ON AN ASSET MANAGER S PRIVATE LAW DUTIES AND LIABILITY DANNY
BUSCH AND DEBORAH A. DEMOTT I. INTRODUCTION 16.01
II. IMPACT OF VIOLATION OF REGULATORY DUTIES ON THE ASSET MANAGER S
PRIVATE LAW LIABILITY 16.02
III. VALIDITY OF CONTRACTUAL DEROGATIONS FROM REGULATORY DUTIES 16.10
IV. IMPACT OF VIOLATION OF REGULATORY DUTIES ON VALIDITY OF ASSET
MANAGEMENT CONTRACT 16.12
V. MAY PRIVATE LAW DUTIES BE STRICTER THAN REGULATORY DUTIES? 16.15 VI.
CONCLUDING REMARKS 16.19
INDEX 545
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| spelling | Liability of asset managers ed. by Danny Busch ... 1. publ. Oxford [u.a.] Oxford Univ. Press 2012 LIV, 564 S. 25 cm txt rdacontent n rdamedia nc rdacarrier Includes bibliographical references and index Investment advisors / Legal status, laws, etc Securities industry / Law and legislation Recht Busch, Danny Sonstige oth SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=024849412&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Liability of asset managers Investment advisors / Legal status, laws, etc Securities industry / Law and legislation Recht |
| title | Liability of asset managers |
| title_auth | Liability of asset managers |
| title_exact_search | Liability of asset managers |
| title_full | Liability of asset managers ed. by Danny Busch ... |
| title_fullStr | Liability of asset managers ed. by Danny Busch ... |
| title_full_unstemmed | Liability of asset managers ed. by Danny Busch ... |
| title_short | Liability of asset managers |
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| topic | Investment advisors / Legal status, laws, etc Securities industry / Law and legislation Recht |
| topic_facet | Investment advisors / Legal status, laws, etc Securities industry / Law and legislation Recht |
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