Enforcing Consumer And Capital Markets Law

Author : Beate Gsell,Thomas M. J. Möllers
Publisher : Unknown
Page : 0 pages
File Size : 45,8 Mb
Release : 2020
Category : Air
ISBN : 1780689640

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Enforcing Consumer and Capital Markets Law by Beate Gsell,Thomas M. J. Möllers Pdf

Enforcing Consumer and Capital Markets Law: The Diesel Emissions Scandal is an international and intradisciplinary work. On the example of one topical and global collective damage event with far reaching consequences for both consumers and investors, this work critically analyses the various approaches of public and private law enforcement and their effectiveness across several jurisdictions, namely those of Austria, Denmark, France, Germany, England and Wales, Italy, Lithuania, the Netherlands, Portugal, Australia, Brazil, China and the United States of America. Based on decided and pending cases, the book demonstrates to what extent public authorities, but also private claimants, can take effective steps against the violation of their rights in their respective jurisdictions. The following is examined: law enforcement by public institutions, law enforcement by private parties and overlaps as well as hybrids and connections between both areas. A particular focus is given to collective redress, that is representative actions and model case proceedings. Comments from renowned practitioners sharing their experiences are included throughout the book. Separate concluding comparative chapters have two different aims: A comparative analysis of the legal solutions with a supranational European Union level focus provides invaluable insights into best practices and effectiveness. In addition, an intradisciplinary comparison assesses and evaluates the effectiveness of consumer law vs capital markets law mechanisms. Furthermore mechanisms of competition law and company law are taken into account.

Author : Alan N. Rechtschaffen
Publisher : Oxford University Press
Page : 496 pages
File Size : 43,9 Mb
Release : 2019-04-30
Category : Law
ISBN : 9780190879655

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Capital Markets, Derivatives, and the Law by Alan N. Rechtschaffen Pdf

Dramatic failures in individual markets and institutions sparked a global financial crisis that resulted in political, social, and economic unrest. In the United States, a host of legislative acts have completely reshaped the regulatory landscape. Capital Markets, Derivatives and the Law: Positivity and Preparation investigates the impact of the financial crisis on capital markets and regulation. With an emphasis on the structure and the workings of financial instruments, it considers market evolution after the crisis and the impact of Central Bank policy. In doing so, it provides the reader with the tools to recognize vulnerabilities in capital market trading activities. This edition serves as an essential guide to better understand the legal and business considerations of capital market participation. With useful definitions, case law examples, and expert insight into structures, regulation, and litigation strategies, Capital Markets, Derivatives and the Law: Positivity and Preparation offers readers invaluable tools to make prudent, well-informed decisions.

Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment
Publisher : Unknown
Page : 0 pages
File Size : 47,6 Mb
Release : 2018
Category : Securities
ISBN : LCCN:2018438391

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Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment Pdf

Author : Robin Hui Huang,Nicholas Calcina Howson
Publisher : Cambridge University Press
Page : 553 pages
File Size : 52,8 Mb
Release : 2017-09-28
Category : Business & Economics
ISBN : 9781107164994

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Enforcement of Corporate and Securities Law by Robin Hui Huang,Nicholas Calcina Howson Pdf

This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.

Author : John C. Burch,Bruce S. Foerster
Publisher : Aspen Publishers
Page : 1060 pages
File Size : 49,5 Mb
Release : 2002
Category : Capital market
ISBN : MINN:31951D02194637J

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Capital Markets Handbook by John C. Burch,Bruce S. Foerster Pdf

Capital Markets Handbook, 3rd Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. This single volume reference is user-friendly and an ideal reference for those who are new to capital markets as well as for those who already have had an introduction to this dynamic field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, information, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. Capital Markets Handbook, 3rd Edition includes the following new topics: New Issue Marketing Process Rule 155 - Limited Safe Harbors from Integration Depositary Receipts Guidelines for Initiating Stabilization Registered Direct Offerings, Regulation D Offerings, and Regulation S Offerings Settlement with Selected Dealers Antecedents of Present Day Corporate Structure, Financing, and Accounting Techniques New Appendix: SIA Best Practices for Research

Author : Rüdiger Veil
Publisher : Bloomsbury Publishing
Page : 787 pages
File Size : 53,5 Mb
Release : 2022-03-24
Category : Law
ISBN : 9781509942138

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European Capital Markets Law by Rüdiger Veil Pdf

“The richness, clarity and nuances of the structure and methodology followed by the contributors make the book a very valuable tool for students... seeking to obtain a general understanding of the market and how it is regulated.” – Ligia Catherine Arias Barrera, Banking & Finance Law Review The fully updated edition of this user-friendly textbook continues to systematise the European law governing capital markets and examines the underlying concepts from a broadly interdisciplinary perspective. The 3rd edition deals with 3 central developments: the project of the capital markets union; sustainable finance; and the further digitalisation of financial instruments and securities markets. The 1st chapter deals with the foundations of capital markets law in Europe, the 2nd explains the basics, and the 3rd examines the regime on market abuse. Chapter 4 explores the disclosure system and chapter 5 short-selling and high-frequency trading. The role of intermediaries, such as financial analysts, rating agencies, and proxy advisers, is described in chapter 6. Chapter 7 explains compliance and corporate governance in investment firms and chapter 8 illustrates the regulation of benchmarks. Finally, chapter 9 deals with public takeovers. Throughout the book emphasis is placed on legal practice, and frequent reference is made to the key decisions of supervisory authorities and courts. This is essential reading for students involved in the study of capital markets law and financial law.

Author : Abe Mastbaum,Richard Bloom,Joseph Pacello
Publisher : West
Page : 480 pages
File Size : 53,7 Mb
Release : 2012-05-22
Category : Law
ISBN : OCLC:828680174

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A Practical Guide to Capital Markets by Abe Mastbaum,Richard Bloom,Joseph Pacello Pdf

Author : Rüdiger Veil
Publisher : Oxford University Press
Page : 545 pages
File Size : 42,7 Mb
Release : 2024-06-14
Category : Law
ISBN : 9780192882660

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Regulating Eu Capital Markets Union by Rüdiger Veil Pdf

This is the first of a two-volume series that examines the current EU capital markets regimes and explores codification as a means for achieving a true single market for capital in Europe.

Author : Ferdinand Wollenschläger,Wolfgang Wurmnest,Thomas M.J. Möllers
Publisher : Kluwer Law International B.V.
Page : 421 pages
File Size : 47,9 Mb
Release : 2020-01-09
Category : Law
ISBN : 9789403502106

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Private Enforcement of European Competition and State Aid Law by Ferdinand Wollenschläger,Wolfgang Wurmnest,Thomas M.J. Möllers Pdf

Private Enforcement of European Competition and State Aid Law Current Challenges and the Way Forward Edited by: Ferdinand Wollenschläger, Wolfgang Wurmnest & Thomas M.J. Möllers The overlapping European Union (EU) regimes of competition law and State aid law both provide mechanisms allowing private plaintiffs to claim compensation for losses or damages. It is thus of significant practical value to provide, as this book does, analysis and guidance on achieving enforcement of such claims, written by renowned authorities in the two fields. The book examines the two areas of law both from an EU perspective and from the perspectives of private enforcement in France, Germany, Italy, the Netherlands, Spain and the United Kingdom. In country reports for these major jurisdictions, as well as in more general and comparative chapters, the authors focus on such issues as the following: impediments to private enforcement; which entity is liable for damages; binding effect of decisions of competition authorities; limitation of actions; collective actions and pooling of claims; enforcement of the standstill obligation (Article 108(3) TFEU); remedies and information deficits; cooperation and coordination between national courts and the European Commission; transposition of the so-called Damages Directive (Directive 2014/104/EU) by the EU Member States; extent to which the strengthening of private enforcement of competition law has a spillover effect on State aid law; and prospects for harmonisation of State aid law. A concluding section identifies enforcement deficits and proposes ways to improve the existing legal framework. As an in-depth assessment of key obstacles and best practices in private enforcement actions, this highly informative and practical volume facilitates choice of the best forum for competition and State aid law cases. Academics and practitioners engaged with this important area of European law will appreciate the authors’ awareness of the economic need and legal particularities which could generate an effective European system of private enforcement of legitimate claims under EU competition and State aid law.

Author : Alan N. Rechtschaffen
Publisher : Oxford University Press
Page : 496 pages
File Size : 50,7 Mb
Release : 2019-04-30
Category : Law
ISBN : 9780190879648

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Capital Markets, Derivatives, and the Law by Alan N. Rechtschaffen Pdf

Dramatic failures in individual markets and institutions sparked a global financial crisis that resulted in political, social, and economic unrest. In the United States, a host of legislative acts have completely reshaped the regulatory landscape. Capital Markets, Derivatives and the Law: Positivity and Preparation investigates the impact of the financial crisis on capital markets and regulation. With an emphasis on the structure and the workings of financial instruments, it considers market evolution after the crisis and the impact of Central Bank policy. In doing so, it provides the reader with the tools to recognize vulnerabilities in capital market trading activities. This edition serves as an essential guide to better understand the legal and business considerations of capital market participation. With useful definitions, case law examples, and expert insight into structures, regulation, and litigation strategies, Capital Markets, Derivatives and the Law: Positivity and Preparation offers readers invaluable tools to make prudent, well-informed decisions.

Author : Michael Legg
Publisher : Bloomsbury Publishing
Page : 336 pages
File Size : 40,5 Mb
Release : 2022-02-10
Category : Law
ISBN : 9781509941520

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Public and Private Enforcement of Securities Laws by Michael Legg Pdf

This book undertakes unique case studies, including interviews with participants, as well as empirical analysis, of public and private enforcement of Australian securities laws addressing continuous disclosure. Enforcement of laws is crucial to effective regulation. Historically, enforcement was the province of a government regulator with significant discretion (public enforcement). However, more and more citizens are being expected to take action themselves (private enforcement). Consistent with regulatory pluralism, public and private enforcement exist in parallel, with the capacity to both help and hinder each other, and the achievement of the goals of enforcement in a range of areas of regulation. The rise of the shareholder class action in Australia, backed by litigation funding or lawyers, has given rise to enforcement overlapping with that of the government regulator, the Australian Securities and Investments Commission. The ramifications of overlapping enforcement are explained based on detailed analysis. The analysis is further bolstered by the regulator's approach to enforcement changing from a compliance orientation to a “Why not litigate?” approach. The analysis and ramifications of the Australian case studies involve matters of regulatory theory and practice that apply across jurisdictions. The book will appeal to practitioners, regulators and academics interested in regulatory policy and enforcement, and the operation of regulators and class actions, including their interaction.

Author : Mario Egbe Mpame
Publisher : Nomos Verlag
Page : 320 pages
File Size : 55,6 Mb
Release : 2021-06-21
Category : Law
ISBN : 9783748926078

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The General Data Protection Regulation and the effective protection of data subjects' rights in the online environment by Mario Egbe Mpame Pdf

Nach einem umfassenden Überblick über die DSGVO untersucht diese Arbeit das neue Recht auf Vertretung, das in Art. 80 Abs. 1 DSGVO verankert ist. Dieses Recht ermöglicht es den betroffenen Personen, einen zuständigen Verband zu benennen, der ihre Durchsetzungsrechte ausübt, einschließlich des Rechts auf Entschädigung, vorausgesetzt, dass das Recht der Mitgliedstaaten dies zulässt. Da dieses Recht vom nationalen Recht abhängig ist, wird in dieser Arbeit untersucht, wie in den wichtigsten europäischen Gerichtsbarkeiten mit kollektiven Rechtsbehelfen gegen Massenschäden beim Datenschutz umgegangen wird, bevor ein Überblick über die allgemeine Situation in der EU und die damit verbundenen Herausforderungen gegeben wird.

Author : International Monetary Fund. Monetary and Capital Markets Department
Publisher : International Monetary Fund
Page : 201 pages
File Size : 43,5 Mb
Release : 2014-05-27
Category : Business & Economics
ISBN : 9781498311854

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Ireland by International Monetary Fund. Monetary and Capital Markets Department Pdf

This Detailed Assessment of Observance assessment of Ireland was carried out using the 2011 International Organization of Securities Commissions (IOSCO) Methodology for Assessing Implementation of the IOSCO Principles. The legal framework is robust and provides the Central Bank of Ireland with broad supervisory, investigative and enforcement powers. There are arrangements for on-site and off-site monitoring of regulated entities. Thematic reviews in selected areas have complemented such monitoring. The Central Bank and the Irish Stock Exchange have also developed sound systems for market surveillance. Certain aspects of the legal provisions regarding the governance structure of the Central Bank of Ireland raise concerns about its independence, although there were no indications of any interference with day-to-day operations. The regime that applies to entities that have issued their securities to the public where their securities are not admitted to trading on a regulated market needs to be strengthened. The Central Bank of Ireland lacks the power to appoint administrators to investments firms in the event of financial difficulties within the firm.

Author : Geoffrey Fuller
Publisher : Lexis Nexis UK
Page : 0 pages
File Size : 50,7 Mb
Release : 2012
Category : Capital market
ISBN : 1405765712

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The Law and Practice of International Capital Markets by Geoffrey Fuller Pdf

Offers comprehensive coverage of the key areas within capital markets including securitisation, guarantees, capital adequacy, Islamic finance, prospectuses, liability management, covenants and warrants. This title explains transaction structures, the relevant documents and how statutes and case law impact on them.

Author : United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee
Publisher : Unknown
Page : 1090 pages
File Size : 46,5 Mb
Release : 1984
Category : Antitrust law
ISBN : UCR:31210012873665

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Oversight of Federal Trade Commission Law Enforcement by United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee Pdf