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

Guido Ferrarini and Eddy Wymeersch (eds)

Published in print:
2006
Published Online:
January 2009
ISBN:
9780199202911
eISBN:
9780191707964
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199202911.001.0001
Subject:
Law, Company and Commercial Law

EU policy in the area of corporate governance and capital markets is being reoriented. Harmonization is less frequently seen as a concept in company law, regulatory competition is on the rise, and ... More


Securities Law (the Financial Instruments and Exchange Law)

Hiroshi Oda

in Japanese Law

Published in print:
2009
Published Online:
May 2009
ISBN:
9780199232185
eISBN:
9780191705335
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199232185.003.0014
Subject:
Law, Comparative Law

This chapter discusses Japanese securities law. Topics covered include the development of securities law in Japan; enactment of the Financial Instruments and Exchange Law (FIEL); goal, scope, and ... More


Classification and Governance: Policy 1

Ruben Lee

in What is an Exchange?: Automation, Management, and Regulation of Financial Markets

Published in print:
2000
Published Online:
October 2011
ISBN:
9780198297048
eISBN:
9780191685309
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198297048.003.0012
Subject:
Business and Management, Finance, Accounting, and Banking, Political Economy

This chapter addresses the issue of how trading systems should be classified and governed. The chapter is composed of three sections. In the first, the criteria that the Securities and Exchange ... More


Harmonization of Financial Regulation

Junji Nakagawa

in International Harmonization of Economic Regulation

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199604661
eISBN:
9780191731679
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199604661.003.0008
Subject:
Law, Public International Law

This chapter analyzes international harmonization of financial regulation. This is a relatively new regulatory area, with international harmonization efforts starting only in the 1980s. ... More


Structuring Securities Regulation in the European Union: Lessons from the U.S. Experience

Donald C. Langevoort

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/9780199202911.003.0017
Subject:
Law, Company and Commercial Law

Politics aside, the question of whether the EU should create an SEC is about the trade-offs between scale and accountability. This chapter considers that trade-off in the US context, with specific ... More


Governance: Law and Regulation

Ruben Lee

in What is an Exchange?: Automation, Management, and Regulation of Financial Markets

Published in print:
2000
Published Online:
October 2011
ISBN:
9780198297048
eISBN:
9780191685309
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198297048.003.0009
Subject:
Business and Management, Finance, Accounting, and Banking, Political Economy

This chapter discusses the main factors that affect the governance of exchanges in American federal law and regulation. The chapter is composed of two sections. The first analyzes federal laws and ... More


Updating Other Regulation

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0011
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

As earlier chapters have made clear, mutual funds not only are subject to Securities and Exchange Commission regulation under the federal securities laws but also they must meet requirements imposed ... More


Job Security Regulations in Western Europe

Patrick Emmenegger

in The Power to Dismiss: Trade Unions and the Regulation of Job Security in Western Europe

Published in print:
2014
Published Online:
December 2014
ISBN:
9780198709237
eISBN:
9780191782732
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198709237.003.0001
Subject:
Political Science, Comparative Politics

This chapter introduces readers to the literature on job security regulations. It shows that while job security regulations play an important role in academic debates on labour market performance, ... More


Harmonizing the Regulation of Financial Advisers

Arthur B. Laby

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0013
Subject:
Business and Management, Pensions and Pension Management

When buying stocks, bonds, mutual funds, and other securities, individuals seeking advice typically turn to broker-dealers or investment advisers before they invest. In many cases, brokers and ... More


The EU and Global Securities Markets Regulation

Lucia Quaglia

in The European Union and Global Financial Regulation

Published in print:
2014
Published Online:
August 2014
ISBN:
9780199688241
eISBN:
9780191767517
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199688241.003.0004
Subject:
Political Science, European Union

The EU regulatory capacity in securities markets was relatively weak until the late 1990s, but was substantially enhanced with the so-called Lamfalussy reform. After the global financial crisis, the ... More


Retail Securities Regulation in the Aftermath of the Bubble

Nancy L. Rose

in Economic Regulation and Its Reform: What Have We Learned?

Published in print:
2014
Published Online:
January 2015
ISBN:
9780226138022
eISBN:
9780226138169
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226138169.003.0010
Subject:
Economics and Finance, Economic Systems

This chapter discusses regulation of the retail securities and investments industry, written for and from the perspective of an industrial organization economist. It describes the economic size and ... More


Delaware’s Diminishment?

Hillary A. Sale

in The Corporate Contract in Changing Times: Is the Law Keeping Up?

Published in print:
2019
Published Online:
September 2019
ISBN:
9780226599403
eISBN:
9780226599540
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226599540.003.0005
Subject:
Law, Company and Commercial Law

In the world of corporate law, Delaware reigns – or so the theory goes. This Chapter examines the reality of that statement, focusing on directors and their fiduciary duties in the context of the ... More


The Trading Scandals

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0012
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

The record 1982–2000 bull market ended with a bubble in high-technology and telecom stocks, followed by a severe bear market and revelations of a number of major corporate and accounting scandals, ... More


Overview

Onnig H. Dombalagian

in Chasing the Tape: Information Law and Policy in Capital Markets

Published in print:
2015
Published Online:
September 2015
ISBN:
9780262028622
eISBN:
9780262324298
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028622.003.0001
Subject:
Economics and Finance, Financial Economics

This chapter provides an overview of information flows in capital markets. The chapter begins with a description of four regulated categories of financial information—company information (securities ... More


Chasing the Tape: Information Law and Policy in Capital Markets

Onnig H. Dombalagian

Published in print:
2015
Published Online:
September 2015
ISBN:
9780262028622
eISBN:
9780262324298
Item type:
book
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028622.001.0001
Subject:
Economics and Finance, Financial Economics

This book surveys the law and policy of regulating information flows in capital markets. Part I begins with an overview of the themes, regulatory principles, and challenges that animate information ... More


Introduction

Andrea M. Matwyshyn

in Harboring Data: Information Security, Law, and the Corporation

Published in print:
2009
Published Online:
June 2013
ISBN:
9780804760089
eISBN:
9780804772594
Item type:
chapter
Publisher:
Stanford University Press
DOI:
10.11126/stanford/9780804760089.003.0001
Subject:
Law, Intellectual Property, IT, and Media Law

This introductory chapter briefly sets out the book's purpose, which is to explore some of the dynamics behind corporations' struggle with information security. It then discusses the reasons behind ... More


Trading and Market Integrity

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/9780198786474.003.0009
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

This chapter reviews the regulation of trading activity in financial markets, focusing on three particular forms of regulated conduct in the market, namely market manipulation, insider trading, and ... More


Securities Regulation

Alan N. Rechtschaffen

in Capital Markets, Derivatives, and the Law: Positivity and Preparation

Published in print:
2019
Published Online:
May 2019
ISBN:
9780190879631
eISBN:
9780190879662
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780190879631.003.0015
Subject:
Law, Company and Commercial Law

Prior to the 2007 financial crisis, financial regulation was compartmentalized along lines of segmented financial instruments. With the exception of the regulation of swaps as described in chapter ... More


Public Utility Holding Companies: Indictment and “Death Sentence”

John L. Neufeld

in Selling Power: Economics, Policy, and Electric Utilities Before 1940

Published in print:
2016
Published Online:
May 2017
ISBN:
9780226399638
eISBN:
9780226399775
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226399775.003.0007
Subject:
Economics and Finance, Economic History

This chapter analyzes the FTC’s findings. The FTC investigation included whether holding companies were victimizing outside investors or utility customers, the structure and extent of control of ... More


Securities and Derivatives Markets

Daniel Mügge

in Europe and the Governance of Global Finance

Published in print:
2014
Published Online:
June 2014
ISBN:
9780199683963
eISBN:
9780191763410
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683963.003.0004
Subject:
Business and Management, Finance, Accounting, and Banking

This chapter traces how securities regulation in Europe and the rest of the world, including at the global level, have co-evolved over the past decades. Compared to banking, global agreements in the ... More


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