Overview
- Analyzes the legal protection of retail investors under the EU law
- Gives a broader, comparative view on investor protection
- Contributes to the EU-US comparative legal studies and to the current academic debate on European Private Law
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Table of contents (8 chapters)
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Front Matter
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The Law-in-Action
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Front Matter
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Back Matter
Keywords
About this book
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-à-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 aEuropean 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.
Authors and Affiliations
About the author
Antonio Marcacci, a compliance professional in a leading European GSIB (Global Systemically Important Bank) since 2013, is interested in the interface between academic research and professional banking and finance. He was awarded with a PhD in Law by the European University Institute (EUI), Florence. During his PhD, Antonio interned at the World Bank in Washington, DC and was a visiting fellow at the Faculty of Law of Humboldt-Universität zu Berlin (Germany) and at the Law School of the University of Wisconsin-Madison (United States). Besides conducting professional training, he teaches EU and US Banking and Financial Law at the University of Passau (Germany), and at the University of Leipzig (Germany).
Bibliographic Information
Book Title: Regulating Investor Protection under EU Law
Book Subtitle: The Unbridgeable Gaps with the U.S. and the Way Forward
Authors: Antonio Marcacci
DOI: https://doi.org/10.1007/978-3-319-90297-5
Publisher: Palgrave Macmillan Cham
eBook Packages: Economics and Finance, Economics and Finance (R0)
Copyright Information: The Editor(s) (if applicable) and The Author(s) 2018
Hardcover ISBN: 978-3-319-90296-8Published: 11 July 2018
Softcover ISBN: 978-3-030-07985-7Published: 26 January 2019
eBook ISBN: 978-3-319-90297-5Published: 27 June 2018
Edition Number: 1
Number of Pages: XVII, 394
Number of Illustrations: 2 b/w illustrations
Topics: Investments and Securities, Financial Law/Fiscal Law