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Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 760

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Author: Hanneke Wegman
Publisher: Kluwer Law International B.V.
ISBN: 9041186115
Category : Law
Languages : en
Pages : 362

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Book Description
The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds available in the EU can be established both inside and outside the EU, they may be subject to different investor protection regulations, depending on where the fund is located. Accordingly, different levels of investor protection may exist between investors investing in EU funds and investors investing in non-EU funds, including US funds. This book investigates whether there is a level playing field between EU investors investing in EU funds and EU investors investing in US funds and if not, if there is a legal basis in current EU law for the EU regulator to adopt additional investor protection rules applying to investment funds. The analysis considers the basic characteristics of investment funds, how they function in practice, and how they are regulated relating to investor protection issues. Factors examined in depth include the following: – features of funds most relevant to the protection of retail investors; – operational structure, investment strategies, fee structure, and legal structure of funds; – internal control systems; – transparency and disclosure rules; – conduct of business rules; and – depositary monitoring rules. The author examines relevant EU directives and rules and the particular remit of each, as well as US law applying to investment funds that are active in the EU. Case law and relevant literature in the field is also drawn on. As an assessment of the current degree of protection applying to funds that are available to EU retail investors – as well as an up-to-date overview of regulatory requirements and procedures concerning the protection of EU investors in investment funds – this book is unsurpassed. Especially valuable is the closing discussion about whether the EU regulatory system provides for a level playing field of protection for EU retail investors, and if not which additional rules can be adopted by the EU regulator in this area. Lawyers and other professionals in all areas of law and policy concerned with investment and finance will find this book of great value.

Author: Arthur B. Laby
Publisher: Cambridge University Press
ISBN: 1108995926
Category : Law
Languages : en
Pages : 687

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Book Description
The topic of investor protection has occupied investors, businesses, regulators, academics, and courts since the 1930s. The topic exploded in importance after the 2008 financial crisis and the Bernard Madoff Ponzi scheme of the same year. Investor protection scholarship now seeks to respond to developments such as the institutionalization of the markets, the democratization of finance, and the enhanced role of market professionals and other gatekeepers. Additionally, although the philosophy of full disclosure remains the guiding principle behind the securities laws, recent research has questioned the merits of a disclosure-based regime. In light of these trends, regulators try to strike the right balance between imposing a strict investor protection regime, on the one hand, and giving businesses the freedom to innovate new projects, market new services, and reduce costs, on the other. The Cambridge Handbook of Investor Protection brings together leading scholars to inform this debate and fill a gap left by these developments.

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category :
Languages : en
Pages : 258

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Book Description

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 140

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Book Description

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Global Financial Crisis, 2008-2009
Languages : en
Pages : 279

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Book Description

Author:
Publisher:
ISBN:
Category :
Languages : en
Pages :

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Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 100

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Book Description

Author: Alberto Chong
Publisher: Stanford University Press
ISBN: 9780804700078
Category : Business & Economics
Languages : en
Pages : 586

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Book Description
Análise comparativa sobre corporação, admistração financeira, investimento na América Latina, em especial nos seguintes países: Argentina, Brasil, Chile, Colômbia, México, Venezuela.

Author:
Publisher: DIANE Publishing
ISBN: 1428943145
Category :
Languages : en
Pages :

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Book Description