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Nutshells Constitutional and Administrative Law, 10th Edition

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How to Protect Investors

How to Protect Investors: Lessons from the EC and the UK

How to Protect Investors Lessons from the EC and the UK

Author: Niamh Moloney
Publisher: Cambridge University Press
ISBN: 9780521888707
Published In: January 2010
Format: Hardback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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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.

Contents:: 1. The retail investor and the EC; 2. Designing a retail investor protection regime; 3. Product regulation; 4. Investment advice and product distribution; 5. Disclosure; 6. The trading process; 7. Education and governance; 8. Supervision, enforcement and redress.

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