Regulating Investor Protection under EU Law: The Unbridgeable Gaps with the U.S. and the Way Forward - Hardcover

Marcacci, Antonio

Hardcover

ISBN 10: 3319902962 ISBN 13: 9783319902968

Verlag: Palgrave Macmillan, 2018

Inhaltsangabe

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 aEuropean 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.

Über diesen Titel

Über die Autorin bzw. den Autor

Antonio Marcacci, a compliance professional in a leading European GSIB (Global Systemically Important Bank) since 2013, is interested in the interface between academic research and professional banking and finance. He was awarded with a PhD in Law by the European University Institute (EUI), Florence. During his PhD, Antonio interned at the World Bank in Washington, DC and was a visiting fellow at the Faculty of Law of Humboldt-Universität zu Berlin (Germany) and at the Law School of the University of Wisconsin-Madison (United States). Besides conducting professional training, he teaches EU and US Banking and Financial Law at the University of Passau (Germany), and at the University of Leipzig (Germany).

Von der hinteren Coverseite

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.

Details zur Ausgabe

• Verlag: Palgrave Macmillan
• Erscheinungsdatum: 2018
• Sprache: Englisch
• ISBN 10: 3319902962
• ISBN 13: 9783319902968
• Einband: Gebundene Ausgabe
• Auflage: 1
• Anzahl der Seiten: 411
• Kontakt zum Hersteller: Springer Nature Customer Service Center GmbH; ProductSafety@springernature.com; ; Europaplatz 3,69115 Heidelberg, Germany; Heidelberg; 69115; Deutschland