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목차
Abbreviations xiii-xvii
The Contributors xix-xxvi
Part1:Institutional Structure,Regulatory Competiion and Regulatory Strategies 1
Chapter1:The Economics and Politics of Corporate Governance in the European Union
by Dennis C. Mueller 3
A. Introduction 3
B. Corporate Governance and Economic Performance 4
C. Institutional Explanations for Differences in performance 15
D. Is There a Best Corporate Governance System? 20
E. Are Corporate Governance Systems Converging? 21
F. Will Corporate Governence Systems Achieve a Full convergence? 22
Chapter 2: Political Yardstick Competition and Corporate Governance in the Eurolpean Union
by Pierre Salmon 31
A. Introduction 32
B. Selected Features of Yardstick Competition Among Goverments 33
C. The Peculiar Pth Borrowed by European Integration 37
D. Corporate Law and Yardstick Competition among EU Member countries 41
E. Is Yardstick Competition at a Higher Level Likely to Start a Centralizing Dynamic Akin To that of the Single Market? 50
F. Conclusion 55
Chapter3: Using Corporate Law to Compete for Investments
by Ehud Kamar 59
A. Introduction 59
B. Competition for Investments 64
C. The Incentives to Compete 80
D. Normative Implications 99
E. Toward a General Theory of Regulatory Competition 113
F. Conclusion 117
Chapter4: A Legal Options Approach to EC Company Law
by Gerard Hertig and Joseph A. McCahery 119
A. Introduction 120
B. Toward a Flexible Approach to EU Company Law 123
C. Impact on Regulatory Arbitrage and Competition 126
D. The Benefits of a Pro-Choice Approach 128
E. Step-by-Step reform Recommendations 131
F. Conclusion: The Future of the Pro-Choice Approach 138
Chapter5: How Can Corporate Governance Codes Be Implemented?
by Eddy Wymeersch 143
A. Regulating Corporate Governance 144
B. Enforcing Corporate Governance Codes 149
C. Conclusion 158
Part2: The New European Regulation of Trading Venues 161
Chapter6: The MiFID: Competition in a New European Equity Market Regulatory Structure
by Ryan Davies, Alfonso Dufour and Brian Scott-Quinn 163
A. Introduction 163
B. Internalisation and Fragmentation 166
C. U.S. Regulatory Experience 174
D. European Landscape 179
E.The MiFID 187
F. Conclusion 191
Chapter7: The European Securities Industry. Further Evidence on the Roadmap to Integration
by Barbara Alemanni, Giuseppe Lusignani and Marco Onado 199
A. Foreword 199
B. The Roadmap: the European Approach 200
C. The Roadmap: Main Issues and Findings 211
D. The Present Landscape 216
E. The Trading Costs in European Exchanges: A Comparative Analysis 218
F. Costs of Post-Trading in Europe: A Comparative Analysis 226
G. Conclusions and Policy Implications 229
Chapter8: The MiFID and Internalisation
by Guido Ferrarini and Fabio Recine 235
A. General 236
B. The ISD Review 241
C. The MiFID and Internalisation 256
D. Conclusions 267
Chapter9: Internalisation under the MiFID: Reguatory Overreaching or Landmark in Investor Protection?
by Hohannes Kondgen and Erik Theissen 271
A. Breaking New Ground in European Securities Regulation 271
B. The Case for Regulation: Some Economic Fundamentals 274
C. The German Version of Intermalisation: A View on Current (Pre-MiFID) Market Practice and Regulation 277
D. A Critical Assessment of the Directive 283
E. Xetra Best-A Blueprint for Other European Exchanges? 290
F. Conclusions 294
Part3: Further Issues in Regulatory Harmonization 297
Chapter10: The Eclipse of Contract Law in the Investment Firm-Client-Relationship: The Impact of the MiFID on the Law of Contract from a German Perspective
by Peter O. Mulbert 299
A. Introduction 299
B. The Present Contractual Approach to Regulating the Firm-Client Relationship: The German Example 300
C. The Contents of the Conduct of Business Obligations: Selected Issues 303
D. Implications for the (German) Law of Contract Relating to Securities Transactions 316
E. Concluding Remarks 320
Chapter11: Conflicts of Interest in Investment Services: The price and Uncertain Impact of MiFID's Regulatory Framework
by Luca Enriques 321
A. Introduction 322
B. Why Specific Rules on Conflicts of Interest? 324
C. The MiFID and Prospective Level 2 Rules on Conflicts of Interest 325
D. Too Much Scope for 'Honesty and Fair Dealing' to Achieve Uniformity? 331
E. Same Rules for Different Investor Protection Needs: A Wise Choice? 334
F. Conclusions 338
Chapter12: The 'Public Offering of Securities' Concept in the new Prospecatus Directive
by Alain Pietrancosta 339
A. An Innovative but Evasive Definition of the 'Offer of Securities to the Public' 345
B. The Clarifications Brought on by an A Contrario Interpretation of the Exemptions 351
Chapter13: Nonfinancial Disclosure between 'Shareholder Value' and 'Socially Responsible Investing'
by Francesco Denozza 365
A. Financial and Nonfinancial Disclosure 365
B. The Notion of Nonfinancial Information 367
C. The Interpretation of the Transparency Directive and its Relationship with the Market Abuse Directive 368
D. The Notion of 'Inside Information' 369
E. From the Interpretation of Lawto the Analysis of Conflicts Amongst the Different Interests of the Individuals Involved: The 'Shareholder Value' Model 372
F. Disclosure Duties: Not a Matterof Increasing Overall Welfare, but of Favouring One Out of Different, Conflicting, Interests 375
Part4: After the Financial Services action Plan 379
Chapter14: Effective Policy Design for the retail Investment Services Market: Challenges nd Choices Post FSAP
by Niamh Moloney 381
A. The EU Investment Services Market and Retail Investor policy 381
B. The Delivery of Retail Paoalicy through a Regulatory Strategy 386
C. The Regulatory Strategy as Expressed Through the MiFID Conduct of Business Regime 391
D. The Risks of a Regulatory Strategy 407
E. A Multi-Stranded Strategy for the Retail Markets 422
F. Conclusion 440
Chapter15: Financial Market Integration in the Post FSAP ERA
In Search of Overall Conceptual Consistency in the Regulatory Framework
by Michel Tison 443
A. Introduction 443
B. The Underlying Regulatory Concepts: From Minimum to Maximum Harmonisation or Something in Getween? 445
C. Division of Regulatory Powers Between Home and Host State 452
D. Conclusions 463
Chapter16: Securities Clearing and Settlement:Regulatory Developments in Europe
by Eddy Wymeersch 465
A. A Short Introduction to Securities Clearing and Settlement 465
B. The Legal and Regulatory Environment of Securities Clearing and Settlement 469
C. Conclusion 483
D. Later Developments 483
Chapter17: Structuring Securities Regulation in the European union: Lessons from the U.S. Experience
by Donald C. Langevoort 485
A. The Primacy of Enforcement 488
B. The Influences on SEC Enforcement Discretion 491
C. The Potential for Home Bias in SEC Enforcement 496
D. Lessons for the EU 501
E. Conclusion 506
Index 507
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