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Effective Policy Design for the Retail Investment Services Market: Challenges and Choices Post FSAP

Niamh Moloney

in Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond

Published in print:
2006
Published Online:
January 2009
ISBN:
9780199202911
eISBN:
9780191707964
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199202911.003.0014
Subject:
Law, Company and Commercial Law

This chapter considers the choices and risks faced by the EU in designing policy for the retail investment services market in the wake of the large-scale regulatory reforms introduced by the FSAP. It ... More


How Should Market Infrastructure Institution Governance Be Regulated?

Ruben Lee

in Running the World's Markets: The Governance of Financial Infrastructure

Published in print:
2011
Published Online:
October 2017
ISBN:
9780691133539
eISBN:
9781400836970
Item type:
chapter
Publisher:
Princeton University Press
DOI:
10.23943/princeton/9780691133539.003.0011
Subject:
Economics and Finance, Macro- and Monetary Economics

This chapter explores what regulatory intervention in the governance of market infrastructure institutions is optimal. Attention is focused on how such intervention can enhance the realization of the ... More


Investor Protection and Capital Market Regulation in Germany

Eric Nowak

in The German Financial System

Published in print:
2004
Published Online:
January 2005
ISBN:
9780199253166
eISBN:
9780191601651
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0199253161.003.0013
Subject:
Economics and Finance, Financial Economics

La Porta et al . have shown that differences among countries in legal codes and enforcement of investor protection account for much of the disparity in the size and development of their financial ... More


Corporate Governance in Germany: An Economic Perspective

Reinhard H. Schmidt

in The German Financial System

Published in print:
2004
Published Online:
January 2005
ISBN:
9780199253166
eISBN:
9780191601651
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0199253161.003.0012
Subject:
Economics and Finance, Financial Economics

Analyses German corporate governance under the aspect of whether it was, and possibly still is, a consistent and economically efficient system composed of complementary elements. The author shows ... More


Internalisation under the MiFID: Regulatory Overreaching or Landmark in Investor Protection?

Johannes Köndgen and Erik Theissen

in Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond

Published in print:
2006
Published Online:
January 2009
ISBN:
9780199202911
eISBN:
9780191707964
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199202911.003.0009
Subject:
Law, Company and Commercial Law

This chapter sums up the economic fundamentals of internalised stock trading and attempts to make a case for regulation. It then sketches the current practice of internalisation in Germany, with ... More


 Corporate Financial Reporting and Regulation in the United States

George J. Benston, Michael Bromwich, Robert E. Litan, and Alfred Wagenhofer

in Worldwide Financial Reporting: The Development and Future of Accounting Standards

Published in print:
2006
Published Online:
February 2006
ISBN:
9780195305838
eISBN:
9780199783342
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195305833.003.0004
Subject:
Economics and Finance, Financial Economics

This chapter reviews the rules governing financial disclosure by corporations in the United States. It begins with an overview of state regulation (which is still in force) and then turns to federal ... More


From Individual to Community Interest in International Investment Law

Christoph Schreuer and Ursula Kriebaum

in From Bilateralism to Community Interest: Essays in Honour of Bruno Simma

Published in print:
2011
Published Online:
May 2011
ISBN:
9780199588817
eISBN:
9780191725272
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199588817.003.0067
Subject:
Law, Public International Law

The protections granted to investors by international investment law would seem to epitomize individual interests. In fact, some of the criticism directed at investment law and especially investment ... More


The Turnaround of 1997: Changes in Japanese Corporate Law and Governance

Zenichi Shishido

in Corporate Governance in Japan: Institutional Change and Organizational Diversity

Published in print:
2007
Published Online:
September 2007
ISBN:
9780199284511
eISBN:
9780191713705
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199284511.003.0011
Subject:
Economics and Finance, South and East Asia

This chapter examines the impact on the scope of behaviour of top management of legal reforms in Japan since 1997. Demand-pull measures were promoted by business associations to facilitate the ... More


Progress in and Prospects for the Financial Sector Reform

Yung Chul Park

in Economic Liberalization and Integration in East Asia: A Post-Crisis Paradigm

Published in print:
2005
Published Online:
February 2006
ISBN:
9780199276776
eISBN:
9780191603051
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0199276773.003.0015
Subject:
Economics and Finance, South and East Asia

Although financial reform agendas differ among countries in East Asia, these are loosely categorized between more advanced and less developed economies. The overall agenda for such reforms includes ... More


Financial Development and the Credit Cycle in Greece1

Michael Haliassos, Gikas Hardouvelis, Margarita Tsoutsoura, and Dimitri Vayanos

in Beyond Austerity: Reforming the Greek Economy

Published in print:
2017
Published Online:
May 2018
ISBN:
9780262035835
eISBN:
9780262339216
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262035835.003.0007
Subject:
Economics and Finance, International

This chapter reviews the developments in Greece's financial system since the beginning of the crisis. The chapter places them in a broader context by (i) evaluating the long-term performance of ... More


Privatization and Corporate Governance

Simon Johnson and Andrei Shleifer

in Governance, Regulation, and Privatization in the Asia-Pacific Region

Published in print:
2004
Published Online:
February 2013
ISBN:
9780226386799
eISBN:
9780226386966
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226386966.003.0002
Subject:
Economics and Finance, South and East Asia

This chapter discusses the corporate governance of privatized firms. Ronald Coase (1960) explained the conditions under which individuals and private firms should be able to make contracts as they ... More


The Enron Scandal: Legal Reform and Investor Protection in the United States

in Law and Capitalism: What Corporate Crises Reveal about Legal Systems and Economic Development around the World

Published in print:
2008
Published Online:
March 2013
ISBN:
9780226525273
eISBN:
9780226525297
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226525297.003.0004
Subject:
Law, Company and Commercial Law

This chapter discusses the collapse of Enron and its aftermath. Enron's breathtakingly rapid unravelling in 2001 threw a good deal of cold water on the perception that the United States had reached ... More


Issuer Disclosure Regulation

John Armour, Dan Awrey, Paul Davies, Luca Enriques, Jeffrey N. Gordon, Colin Mayer, and Jennifer Payne

in Principles of Financial Regulation

Published in print:
2016
Published Online:
October 2016
ISBN:
9780198786474
eISBN:
9780191828782
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198786474.003.0008
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

This chapter considers the rationale for, and scope and content of, mandatory disclosure obligations placed on firms issuing securities in capital markets. The explicit regulatory objective of issuer ... More


Mutual Fund Disclosure and Related Fund Investor Protection Features

Joseph A. Franco

in Mutual Funds and Exchange-Traded Funds: Building Blocks to Wealth

Published in print:
2015
Published Online:
November 2015
ISBN:
9780190207434
eISBN:
9780190207465
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190207434.003.0024
Subject:
Economics and Finance, Financial Economics

This chapter discusses the principal features of mutual fund disclosure regulation in the United States and the challenges faced by the SEC in designing a disclosure regime that meets the needs of ... More


Negotiating New Generation International Investment Agreements: New Sustainable Development Oriented Initiatives

Peter Muchlinski

in Shifting Paradigms in International Investment Law: More Balanced, Less Isolated, Increasingly Diversified

Published in print:
2016
Published Online:
April 2016
ISBN:
9780198738428
eISBN:
9780191801723
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198738428.003.0003
Subject:
Law, Public International Law, Environmental and Energy Law

International Investment Agreements (IIAs) are in need of substantial reconsideration. This position has now entered the mainstream with bodies such as UNCTAD and the Commonwealth Secretariat ... More


Understanding and Combating Investment Fraud

Christine N. Kieffer and Gary R. Mottola

in Financial Decision Making and Retirement Security in an Aging World

Published in print:
2017
Published Online:
November 2017
ISBN:
9780198808039
eISBN:
9780191847165
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198808039.003.0010
Subject:
Business and Management, Pensions and Pension Management, Finance, Accounting, and Banking

Investment fraud is a significant problem in America. Many Baby Boomers are entering retirement with significant assets, and enforcement actions by financial regulators indicate that investors can be ... More


The Greek Justice System: Collapse and Reform1

Elias Papaioannou and Stavroula Karatza

in Beyond Austerity: Reforming the Greek Economy

Published in print:
2017
Published Online:
May 2018
ISBN:
9780262035835
eISBN:
9780262339216
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262035835.003.0012
Subject:
Economics and Finance, International

This chapter discusses the key structural deficiencies of the Greek justice system and proposes concrete policy reforms. The first part provides an account of the Greek legal system using ... More


Corporate Governance and the Development of Manufacturing Enterprisesin Nineteenth-Century Massachusetts

Eric Hilt

in Enterprising America: Businesses, Banks, and Credit Markets in Historical Perspective

Published in print:
2015
Published Online:
May 2016
ISBN:
9780226261621
eISBN:
9780226261768
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226261768.003.0003
Subject:
Economics and Finance, Economic History

This chapter analyzes the use of the corporate form among nineteenth century manufacturing firms in Massachusetts, from newly collected data from 1875. An analysis of incorporation rates across ... More


Foreign Direct Investment: A Historical Perspective

Leon E. Trakman and Nicola W. Ranieri

in Regionalism in International Investment Law

Published in print:
2013
Published Online:
May 2014
ISBN:
9780195389005
eISBN:
9780199332434
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195389005.003.0002
Subject:
Law, Public International Law

The development of foreign direct investment (FDI) protocols reflects an evolutionary progression of thinking on the subject. They are steeped in established international law obligations and ... More


A Framework for Responsive Market Regulation

Timothy Baikie, Tracey Stern, Susan Greenglass, and Maureen Jensen

in Global Algorithmic Capital Markets: High Frequency Trading, Dark Pools, and Regulatory Challenges

Published in print:
2018
Published Online:
January 2019
ISBN:
9780198829461
eISBN:
9780191867972
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198829461.003.0013
Subject:
Economics and Finance, Financial Economics

This chapter submits that a regulator’s raison d’être is not simply to react to market issues but to be proactive and to follow and to understand the changes and the business decisions in the market. ... More


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