EU Banking and Financial Regulation

Banking / Finance

EU Banking and Financial Regulation

Edited by Jean-Baptiste Poulle · Anastasia Sotiropoulou
Edward Elgar Publishing March 2024

Specifications

ISBN-13
9781035301942
Publisher
Edward Elgar Publishing
Publication
March 2024
Format
Hardback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

EU Banking and Financial Regulation presents a comprehensive and systematic overview of the major directives and regulations which currently govern the EU’s banking and finance industries. Offering detailed legal analysis, this timely book not only addresses the various banking and financial legislations in their entirety, but also considers more peripheral issues such as insurance, crypto-assets and anti-money laundering, whilst referring to important case law.

Consisting of 16 thematic parts, the book explores the current legal framework applicable to the banking and finance industry and expertly examines the structure and organisation of the various EU legislations. Navigating key topics such as EU supervisors, financial markets, compliance, consumer credit protection, and digital finance, the book offers a wealth of conceptual analysis. Focus is also given to the evolution of banking and financial regulations which allows for comparative links to be drawn between the diverse legislation.

This accessible book will be a fundamental resource for practitioners and public servants in the legal and financial sectors. Undergraduate and postgraduate students alongside academics interested in European finance and banking law will also find this book to be an invaluable read.

Table of Contents

PART I. EU SUPERVISORS
1.
Introduction on EU supervisors 7
2.
European Banking Authority 11
3.
European Securities and Markets Authority 23
4.
European Insurance and Occupational Pensions Authority 33
5.
European Central Bank 41
6.
European Systemic Risk Board 49

PART II. BANKING
7.
Introduction on banking 55
8.
Banking activities and institutions 59
9.
Single Supervisory Mechanism 92
10.
Bank Recovery and Resolution Directive 110
11.
Single Resolution Mechanism 132
12.
Reorganisation and winding-up of credit institutions 141
13.
Deposit guarantee schemes 150
14.
Non-performing Loans Directive 159

PART III. SECURITIES
15.
Introduction on securities
16.
Prospectus 170
17.
Transparency 183
18.
Short selling 191
19.
Takeover bids 198
20.
Shareholders’ Rights Directive II 206

PART IV. FINANCIAL MARKETS
21.
Introduction on financial markets 214
22.
MiFID II 219
23.
IFR/IFD 243
24.
Market abuse 253
25.
Securities Financing Transactions Regulation 267
26.
The Securitisation Regulation 275
27.
Credit rating agencies 283

PART V. DERIVATIVES, COLLATERAL MANAGEMENT AND POST-MARKET
28.
Introduction on derivatives, collateral management and post-market 295
29.
EMIR 302
30.
Recovery and resolution of central counterparties 323
31.
Settlement Finality Directive 337
32.
Securities settlement and central securities depositories 343
33.
Financial collateral arrangements 354

PART VI. BENCHMARKS
34.
Introduction on benchmarks 362
35.
Benchmarks 365

PART VII. FUNDS
36.
Introduction on funds 378
37.
Undertakings for Collective Investment in Transferable Securities 381
38.
AIFMD 391
39.
IFR/IFD 406
40.
European Venture Capital Funds 412
41.
ELTIF 418
42.
Money Market Funds Regulation 426
43.
Cross-border fund distribution 434

PART VIII. INSURANCE
44.
Introduction on insurance 442
45.
Solvency II 445
46.
Insurance Distribution Directive 467

PART IX. PENSIONS
47.
Introduction on pensions 480
48.
Institutions for Occupational Retirement Provision II Directive 482
49.
Pan-European Pension Product Regulation 488

PART X. MARKETING
50.
Introduction on marketing 497
51.
Distance marketing of financial services 500
52.
PRIIPs 508

PART XI. PAYMENT SERVICES/E-MONEY
53.
Introduction on payment services/e-money 517
54.
Payment services 521
55.
E-money 530
56.
Payment accounts 535
57.
Interchange fees 540
58.
SEPA 547
59.
Cross-border payments in the Union 553

PART XII. COMPLIANCE
60.
Introduction on compliance 558
61.
Anti-money laundering and terrorist financing 561
62.
Information accompanying transfer of funds 573

PART XIII. CONSUMER CREDIT PROTECTION
63.
Introduction on consumer credit protection 579
64.
Consumer credit 581
65.
Mortgage credit 591

PART XIV. CROWDFUNDING
66.
Introduction on crowdfunding 599
67.
Crowdfunding 601

PART XV. SUSTAINABLE FINANCE
68.
Introduction on sustainable finance 611
69.
SFDR 615
70.
Taxonomy 625
71.
Non-Financial Reporting Directive 634
72.
Corporate Sustainability Reporting Directive 639

PART XVI. DIGITAL FINANCE
73.
Introduction on digital finance 646
74.
DLT 649
75.
MiCA 653
76.
DORA 661
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