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Regulating Investor Protection Under EU Law: The Unbridgeable Gaps with the U.S. and the Way Forward

Regulating Investor Protection Under EU Law: The Unbridgeable Gaps with the U.S. and the Way Forward

Author: Antonio Marcacci
Publisher: Palgrave Macmillan
ISBN: 9783030079857
Published In: July 2019
Format: Paperback
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

Details

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.

Introduction

Chapter One: Towards a European Investor Protection Law

First Part: The Law on the Books

Chapter Two: The Evolution of the EU Law of Financial Markets

Chapter Three: The Relationship Between an Investment Service Provider and a Retail Investor: EU and US compared

Second Part: The Law in Action

Chapter Four: Public Enforcement

Chapter Five: Private Enforcement

Chapter Six: The Compliance Function as Embedder of the Law-on-the-Book and as Enforcement Frontliner

Chapter 7. Conclusions: The Unbridgeable Gaps with the US and the Emergence of an Increasingly Self-Sufficient EU Regulatory Investor Protection Law