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European Capital Markets Law

Editor(s): Rüdiger Veil
Media of European Capital Markets Law
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Published: 01-07-2021
Format: Paperback
Edition: 3rd
Extent: 640
ISBN: 9781509942114
Imprint: Hart Publishing
Dimensions: 244 x 169 mm
RRP : £54.99

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Loren Epson

About European Capital Markets Law

“The richness, clarity and nuances of the structure and methodology followed by the contributors make the book a very valuable tool for students, researchers, and practitioners seeking to obtain a general understanding of the market and how it is regulated.” – Ligia Catherine Arias Barrera, Banking & Finance Law Review

The fully updated edition of this user-friendly textbook continues to systematise the European law governing capital markets and examines the underlying concepts from a broadly interdisciplinary perspective. The third edition deals with three central developments: the project of the capital markets union; sustainable finance; and the further digitalisation of financial instruments and securities markets.

The first chapter deals with the foundations of capital markets law in Europe, the second explains the basics, and the third examines the regime on market abuse. Chapter four explores the disclosure system and chapter five the roles of intermediaries, such as financial analysts, rating agencies and proxy advisers. Short selling and high frequency trading is described in chapter six. Chapter seven deals with financial services and chapter eight explains compliance and corporate governance in investment firms. Chapter nine illustrates the regulation of benchmarks. Finally, chapter ten deals with public takeovers.

Throughout the book emphasis is placed on legal practice, and frequent reference is made to the key decisions of supervisory authorities and courts. Essential reading for students involved in the study of capital markets law and financial law.

Table Of Contents

1. Foundations of Capital Markets Legislature in Europe
1. History
2. Concept and Aims of Capital Markets Regulation
3. Legislative Powers for Regulating Capital Markets in Europe
4. Process and Strategies of Capital Markets Regulation in Europe
5. Sources of Law and Principles of Interpretation
6. Intra- and Interdisciplinarity

2. Basics of Capital Markets Law
1. Capital Markets and Derivatives Markets
2. Financial Instruments
3. Market Participants
4. Access to the Markets and Market Exit
5. Capital Markets Supervision in Europe
6. Sanctions

3. Market Integrity
1. Foundations
2. Insider Dealing
3. Market Manipulation

4. Disclosure System
1. Foundations
2. Prospectus Disclosure
3. Periodic Disclosure
4. Disclosure of Inside Information
5. Transparency of Major Shareholdings and Financial Instruments
6. Directors' Dealings
7. Access to Information
8. Disclosure of Corporate Governance

5. Trading Activities
1. Short Selling
2. Algorithmic Trading and High Frequency Trading

6. Intermediaries
1. Financial Analysts
2. Rating Agencies
3. Proxy Advisors

7. Financial Services
1. Foundations
2. Product Intervention and Product Governance
3. Investment Services

8. Organisational Requirements for Investment Firms
1. Foundations
2. Compliance
3. Corporate Governance

9. Regulation of Benchmarks
1. Foundations
2. Supervisory Concepts and Organisational Requirements

10. Takeover Law
1. Foundations
2. Public Takeover
3. Disclosure of Defensive Structures and Mechanisms
4. Mandatory Bid

11. Conclusion
1. A Review of the Past and Suggestions for the Future

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