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European Securities Markets, The Investment Services Directive And Beyond

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Overview

The European Union is moving towards the full implementation of the Investment Services Directive (ISD). Indeed, in some Member States, further changes to the domestic legal framework to increase competition among financial institutions and markets will complete or complement its implementation.

This book includes updated papers written by academics and practitioners from Europe and the United States and presented at the Genoa Seminar on European Investment Markets, held in November 1996.

Several papers examine critical aspects of the ISD from a comparative viewpoint, in particular considering the appropriateness of further harmonisation. The regulation of financial exchanges in the new competitive arena and the need for cooperation between supervisors receive special attention.

Its evaluation of the economic impact of ISD implementation and consideration of further perspectives makes European Securities Markets one of the first and most comprehensive publications on the ISD implementation.

The volume will interest and educate all those involved in European securities and derivatives markets in either a legal or economic capacity, including banking and financial lawyers, financial economists, regulators, exchanges and intermediaries.

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Product Details

  • ISBN-13: 9789041107367
  • Publisher: Kluwer Law International, BV
  • Publication date: 3/4/1998
  • Pages: 428
  • Product dimensions: 6.14 (w) x 9.21 (h) x 0.94 (d)

Table of Contents

Preface
List of Contributors
List of Abbreviations
1 The Implementation of the ISD and CAD in National Legal Systems 3
2 Banking and Investment Services: Implications of the New Financial Landscape 45
3 Economics of Securities Markets Regulation: Some Current Issues 65
4 Cross-border Compliance: Organisational Duties Imposed on National and International Investment Firms 73
5 Practising Safer Lex: The Proper Domain of Property, Secured Transactions and Insolvency Laws in the Regulation of Intermediaries 85
6 Segregation of Securities and Insolvency under German Law 95
7 Segregation of Assets and Insolvency under Italian Law 105
8 Rules of Conduct: Further Harmonisation? 115
9 Is there a Need to Harmonise Conduct of Business Rules? 131
10 Derivatives Sales: Private Law and the Impact of Regulatory Standards 135
11 Conflicts of Interest: An English Problem? 149
12 Conflicts of Interest: The Spanish Experience 165
13 The Changing Microstructure of European Equity Markets 177
14 Competition between Regulated Markets in London 205
15 Competition among European Exchanges: Recent Developments 213
16 Competition among Exchanges or Financial Systems? 225
17 Exchange Governance and Regulation: An Overview 245
18 A European Directive for Regulated Markets? Some Personal Views 269
19 A European Directive for Regulated Markets? A French Reaction 275
20 Regulation of the Relationship between European Union Stock Exchanges: Lessons from the United States 283
21 Derivatives Clearing Houses: The Regulatory Challenge 295
22 The Enforcement of the European Regime for Investment Services in the Member States and its Impact on National Conflict of Laws 317
23 Cooperation among Supervisory Authorities under the ISD 363
24 Cooperation between Supervisors 373
25 International Tax Aspects of Portfolio Investment 383
Index 393
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