Investor Protection in the CIS

Investor Protection in the CIS
Title Investor Protection in the CIS PDF eBook
Author Rilka Dragneva
Publisher Martinus Nijhoff Publishers
Pages 353
Release 2007
Genre Law
ISBN 9004155325

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The book examines the legal regime for protection of company shareholders in the CIS. The focus is on important aspects of domestic legal reform in the twelve CIS countries, but also on the contribution of CIS model legislation to this process.

The Law of Investor Protection

The Law of Investor Protection
Title The Law of Investor Protection PDF eBook
Author Jonathan Fisher
Publisher Sweet & Maxwell
Pages 734
Release 2003
Genre Financial services industy
ISBN 9780421673007

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This series enables practitioners to stay up to date with litigation and developments in the field of entertainment law. Emphasis is placed on the practical implications of relevant legislative developments and the effects of technology on artists, rights owners and collecting societies

EU Securities and Financial Markets Regulation

EU Securities and Financial Markets Regulation
Title EU Securities and Financial Markets Regulation PDF eBook
Author Niamh Moloney
Publisher Oxford University Press
Pages 993
Release 2023-03-29
Genre
ISBN 0198844875

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Over the decade or so since the global financial crisis rocked EU financial markets and led to wide-ranging reforms, EU securities and financial markets regulation has continued to evolve. The legislative framework has been refined and administrative rulemaking has expanded. Alongside, the Capital Markets Union agenda has developed, the UK has left the EU, and ESMA has emerged as a decisive influence on EU financial markets governance. All these developments, as well as the Covid-19 pandemic, have shaped the regulatory landscape and how supervision is organized. EU Securities and Financial Markets Regulation provides a comprehensive, critical, and contextual account of the intricate rulebook that governs EU financial markets and its supporting institutional arrangements. It is framed by an assessment of how the regime has evolved over the decade or so since the global financial crisis and considers, among other matters, the post-crisis reforms to key legislative measures, the massive expansion of administrative rulemaking and of soft law, the Capital Markets Union agenda, the development of supervisory convergence as the means for organizing pan-EU supervision, and ESMA's role in EU financial markets governance. Its coverage extends from capital-raising and the Prospectus Regulation to financial market intermediation and the MiFID II/MiFIR and IFD/IFR regimes, to the new regulatory regimes adopted since the global financial crisis (including for benchmarks and their administrators), to retail market regulation and the PRIIPs Regulation, and on to the EU's third country regime and the implications of the UK's departure from the EU. This is the fourth edition of the highly successful and authoritative monograph first published as EC Securities Regulation. Heavily revised from the third edition to reflect developments since the global financial crisis, it adopts the in-depth contextual and analytical approach of earlier editions and so considers the market, political, institutional, and international context of the regulatory and supervisory regime.

Collective Investment Scheme Transactions in ASEAN+3

Collective Investment Scheme Transactions in ASEAN+3
Title Collective Investment Scheme Transactions in ASEAN+3 PDF eBook
Author Asian Development Bank
Publisher Asian Development Bank
Pages 156
Release 2022-09-01
Genre Business & Economics
ISBN 9292697315

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This report explores how the central securities depository and real-time gross settlement (CSD-RTGS) linkage model could be applied to collective investment scheme (CIS) passporting frameworks in Asia to enhance the post-trade efficiency of the region’s bond markets. In Asia, there are a number of multilateral CIS passporting frameworks, but little attention has been given to how delivery versus payment settlements can be facilitated under such frameworks. The report finds that the CSD-RTGS linkage model has considerable potential to be applied in Asia as a settlement engine for the cross-border transactions of bonds (as well as for other financial instruments). It outlines how this can be achieved by interlinking the region’s CIS central platforms and delivery versus payment settlements infrastructure under the CSD-RTGS model.

How to Protect Investors

How to Protect Investors
Title How to Protect Investors PDF eBook
Author Niamh Moloney
Publisher Cambridge University Press
Pages 501
Release 2010-01-21
Genre Law
ISBN 1139485555

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As governments around the world withdraw from welfare provision and promote long-term savings by households through the financial markets, the protection of retail investors has become critically important. Taking as a case study the wide-ranging EC investor-protection regime which now governs EC retail markets after an intense reform period, this critical, contextual and comparative examination of the nature of investor protection explores why the retail investor should be protected, whether retail investor engagement with the markets should be encouraged and how investor protection laws should be designed, particularly in light of the financial crisis. The book considers the implications of the EC's investor protection rules 'on the books' but also considers investor protection law and policy 'in action', drawing on experience from the UK retail market and in particular the Financial Services Authority's extensive retail market activities, including the recent Retail Distribution Review and the Treating Customers Fairly strategy.

Investor Protection

Investor Protection
Title Investor Protection PDF eBook
Author Hanneke Wegman
Publisher Kluwer Law International B.V.
Pages 374
Release 2015-11-24
Genre Law
ISBN 9041186115

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The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds available in the EU can be established both inside and outside the EU, they may be subject to different investor protection regulations, depending on where the fund is located. Accordingly, different levels of investor protection may exist between investors investing in EU funds and investors investing in non-EU funds, including US funds. This book investigates whether there is a level playing field between EU investors investing in EU funds and EU investors investing in US funds and if not, if there is a legal basis in current EU law for the EU regulator to adopt additional investor protection rules applying to investment funds. The analysis considers the basic characteristics of investment funds, how they function in practice, and how they are regulated relating to investor protection issues. Factors examined in depth include the following: – features of funds most relevant to the protection of retail investors; – operational structure, investment strategies, fee structure, and legal structure of funds; – internal control systems; – transparency and disclosure rules; – conduct of business rules; and – depositary monitoring rules. The author examines relevant EU directives and rules and the particular remit of each, as well as US law applying to investment funds that are active in the EU. Case law and relevant literature in the field is also drawn on. As an assessment of the current degree of protection applying to funds that are available to EU retail investors – as well as an up-to-date overview of regulatory requirements and procedures concerning the protection of EU investors in investment funds – this book is unsurpassed. Especially valuable is the closing discussion about whether the EU regulatory system provides for a level playing field of protection for EU retail investors, and if not which additional rules can be adopted by the EU regulator in this area. Lawyers and other professionals in all areas of law and policy concerned with investment and finance will find this book of great value.

Annual Report on Exchange Arrangements and Exchange Restrictions 2018

Annual Report on Exchange Arrangements and Exchange Restrictions 2018
Title Annual Report on Exchange Arrangements and Exchange Restrictions 2018 PDF eBook
Author International Monetary Fund. Monetary and Capital Markets Department
Publisher International Monetary Fund
Pages 3724
Release 2019-04-16
Genre Business & Economics
ISBN 1484396774

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The Annual Report on Exchange Arrangements and Exchange Restrictions has been published by the IMF since 1950. It draws on information available to the IMF from a number of sources, including that provided in the course of official staff visits to member countries, and has been prepared in close consultation with national authorities.