Holdings: Liability of asset managers

Liability of asset managers:

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Bibliographic Details
Format:	Book
Language:	English
Published:	Oxford [u.a.] Oxford Univ. Press 2012
Edition:	1. publ.
Subjects:	Investment advisors / Legal status, laws, etc Securities industry / Law and legislation Recht
Online Access:	Inhaltsverzeichnis
Item Description:	Includes bibliographical references and index
Physical Description:	LIV, 564 S. 25 cm

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MARC


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245	1	0	\|a Liability of asset managers \|c ed. by Danny Busch ...
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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
title_sort	liability of asset managers
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
url	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
work_keys_str_mv	AT buschdanny liabilityofassetmanagers

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