[PDF] How To Protect Investors eBook

Author : Niamh Moloney
Publisher : Cambridge University Press
Page : 501 pages
File Size : 39,43 MB
Release : 2010-01-21
Category : Law
ISBN : 1139485555

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As governments around the world withdraw from welfare provision and promote long-term savings by households through the financial markets, the protection of retail investors has become critically important. Taking as a case study the wide-ranging EC investor-protection regime which now governs EC retail markets after an intense reform period, this critical, contextual and comparative examination of the nature of investor protection explores why the retail investor should be protected, whether retail investor engagement with the markets should be encouraged and how investor protection laws should be designed, particularly in light of the financial crisis. The book considers the implications of the EC's investor protection rules 'on the books' but also considers investor protection law and policy 'in action', drawing on experience from the UK retail market and in particular the Financial Services Authority's extensive retail market activities, including the recent Retail Distribution Review and the Treating Customers Fairly strategy.

Author : Niamh Moloney
Publisher : Cambridge University Press
Page : 501 pages
File Size : 29,22 MB
Release : 2010-01-21
Category : Business & Economics
ISBN : 0521888700

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A critical, comparative and contextual examination of how to protect retail or household investors which considers the financial crisis's implications.

Author : Booysen, Sandra
Publisher : Edward Elgar Publishing
Page : 384 pages
File Size : 49,98 MB
Release : 2021-12-07
Category : Law
ISBN : 1800884621

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This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection – this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.

Author : United States. Congress
Publisher : Createspace Independent Publishing Platform
Page : 114 pages
File Size : 33,37 MB
Release : 2017-12-15
Category :
ISBN : 9781981740383

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Investor protection : the need to protect investors from the government : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 7, 2012.

Author : Yasuyuki Fuchita
Publisher : Brookings Institution Press
Page : 216 pages
File Size : 25,83 MB
Release : 2007-02-01
Category : Business & Economics
ISBN : 0815729820

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A Brookings Institution Press and Nomura Institute of Capital Markets Research publication Developed country capital markets have devised a set of institutions and actors to help provide investors with timely and accurate information they need to make informed investment decisions. These actors have become known as "financial gatekeepers" and include auditors, financial analysts, and credit rating agencies. Corporate financial reporting scandals in the United States and elsewhere in recent years, however, have called into question the sufficiency of the legal framework governing these gatekeepers. Policymakers have since responded by imposing a series of new obligations, restrictions, and punishments—all with the purpose of strengthening investor confidence in these important actors. Financial Gatekeepers provides an in-depth look at these new frameworks, especially in the United States and Japan. How have they worked? Are further refinements appropriate? These are among the questions addressed in this timely and important volume. Contributors include Leslie Boni (University of New Mexico), Barry Bosworth (Brookings Institution), Tomoo Inoue (Seikei University), Zoe-Vonna Palmrose (University of Southern California), Frank Partnoy (University of San Diego School of Law), George Perry (Brookings Institution), Justin Pettit (UBS), Paul Stevens (Investment Company Institute), Peter Wallison (American Enterprise Institute).