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Author | : Richard J. Hillman |
Publisher | : DIANE Publishing |
Total Pages | : 100 |
Release | : 2001-09 |
Genre | : Business & Economics |
ISBN | : 9780756716813 |
Download Securities Investor Protection Book in PDF, ePub and Kindle
Assesses the operations of the Securities Investor Protection Corp. (SIPC), established in 1970. It discusses: (1) the basis for SIPC policies involving unauthorized trading and the extent that these policies are disclosed to investors; (2) the basis for SIPC policies involving the affiliates of SIPC member firms and the extent that these policies are disclosed to investors; (3) the SECs oversight of SIPC; and (4) the disclosure rules for SIPC, the FDIC, and state insurance guarantee associations, as well as the related implications for consumers as the financial services industry consolidates. Includes recommendations to the SIPC and the SEC regarding disclosure of SIPC policies and SEC's SIPC oversight.
Author | : Antonio Marcacci |
Publisher | : Palgrave MacMillan |
Total Pages | : 414 |
Release | : 2019-07-25 |
Genre | : |
ISBN | : 9783030079857 |
Download Regulating Investor Protection Under Eu Law Book in PDF, ePub and Kindle
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.
Author | : |
Publisher | : |
Total Pages | : 16 |
Release | : 1980 |
Genre | : Investment guaranty insurance |
ISBN | : |
Download Securities Investor Protection Corporation Book in PDF, ePub and Kindle
Author | : |
Publisher | : DIANE Publishing |
Total Pages | : 42 |
Release | : |
Genre | : |
ISBN | : 1428943145 |
Download Securities investor protection update on matters related to the Securities Investor Protection Corporation. Book in PDF, ePub and Kindle
Author | : Booysen, Sandra |
Publisher | : Edward Elgar Publishing |
Total Pages | : 384 |
Release | : 2021-12-07 |
Genre | : Law |
ISBN | : 1800884621 |
Download Financial Advice and Investor Protection Book in PDF, ePub and Kindle
This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection – this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | : |
Total Pages | : 350 |
Release | : 2009 |
Genre | : Global Financial Crisis, 2008-2009 |
ISBN | : |
Download Enhancing Investor Protection and the Regulation of Securities Markets Book in PDF, ePub and Kindle
Author | : Securities Investor Protection Corporation |
Publisher | : |
Total Pages | : 44 |
Release | : 2010 |
Genre | : |
ISBN | : |
Download Annual Report - Securities Investor Protection Corporation Book in PDF, ePub and Kindle
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 100 |
Release | : 2001 |
Genre | : Disclosure of information |
ISBN | : |
Download Securities Investor Protection Book in PDF, ePub and Kindle
Author | : United States Accounting Office |
Publisher | : Createspace Independent Publishing Platform |
Total Pages | : 96 |
Release | : 2018-02-13 |
Genre | : |
ISBN | : 9781985283510 |
Download Securities Investor Protection Book in PDF, ePub and Kindle
GAO-01-653 Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors
Author | : Marnix Wallinga |
Publisher | : Springer |
Total Pages | : 432 |
Release | : 2021-11-01 |
Genre | : Law |
ISBN | : 9783030540036 |
Download EU Investor Protection Regulation and Liability for Investment Losses Book in PDF, ePub and Kindle
This book examines the relationship between the EU investor protection regulations enshrined in MiFID and MiFID II and national contract and torts law. It describes how the effect of the conduct of business rules as implemented in national financial supervision legislation in private law extends to the issue of enforcement, and critically assesses this interaction from the perspective of EU law. In particular, the conclusions identified in the book will deepen readers’ understanding of the interplay between the conduct of business rules and private law norms governing a firm’s liability to pay damages, such as duty of care, attributability of damage, causation, contributory negligence and limitation. In turn, the book identifies the subordination and the complementarity model to conceptualise the interaction between the conduct of business rules and private law norms. Moreover, the book challenges the view that civil courts are – or should be – forced to give private law effects to violation of the MiFID and MiFID II conduct of business rules in line with the subordination model. Instead, the complementarity model is advanced as the preferred approach to this interaction in view of what MiFID and MiFID II require from Member States in terms of their implementation, as well as the desirability of each model. This model presupposes that courts should consider the conduct of business rules when adjudicating individual disputes, while preserving the autonomy of private law norms governing liability of investment firms towards clients. Based on analysis of case law of courts in Germany, the Netherlands and England & Wales, as well as scholarly literature, the book also compares the available causes of action, the conditions of liability and the obstacles investors face when claiming damages, as well as how and the extent to which investors can benefit from the conduct of business rules in clearing these obstacles. In so doing, under the approach adopted by national courts to the interplay between the conduct of business rules of EU origin and private law, the book shows how investors can benefit from the influence of these rules on private law norms. In closing, it demonstrates a hybridisation of private law remedies resulting from the accommodation of the conduct of business rules into the private law discourse according to the complementarity model, illustrating how judicial enforcement through private law means may contribute to investor protection.