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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-a-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.
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-a-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.
The book provides an analysis of the emergence, evolution, and
transformation of transnational securities regulation and of the
influences from and the interactions between global regulatory
powers in the field. Combining insights from law and political
science, the work employs a two-tier complementary "on-the-books"
and "in-action" approach. The more classical "on-the-books"
approach draws on scholarship in United States and European Union
securities regulation; transnational regulation and global
administrative law; regime complexity; global governance studies;
and the regulatory production of the International Organisation of
Securities Commissions (IOSCO). The law in-action approach
leverages the author's experience as Compliance senior professional
in a multinational financial institution as well as research
interviews with senior IOSCO staff. The author's findings enable
the reader to develop an original understanding of IOSCO, its
standards, and its unique place in the transnational regulatory
arena. They also challenge the doxa that the US are the only
driving regulatory power in the securities area when in fact, other
regulatory powers are emerging - for the time being, the EU. The
balance has shifted and regulatory compromises are achieved at
different points in the rule making process.
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