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European Capital Markets Law

Editor(s): Rüdiger Veil
Media of European Capital Markets Law
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Published: 06-04-2017
Format: Paperback
Edition: 2nd
Extent: 848
ISBN: 9781782256526
Imprint: Hart Publishing
Dimensions: 244 x 169 mm
RRP: £50.00
 

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Loren Epson

About European Capital Markets Law

European capital markets law has developed rapidly in recent years. The former directives have been replaced by regulations and numerous implementing legal acts aimed at ensuring a level playing field across the EU. The financial crisis has given further impetus to the development of a European supervisory structure. This book systematises the European law and examines the underlying concepts from a broadly interdisciplinary perspective. National experiences in selected Member States – Austria, France, Germany, Italy, Spain, Sweden and the United Kingdom – are also explored.

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.

Table Of Contents

SUMMARY 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. Dogmatics and Interdisciplinarity
2
Basics of Capital Markets Law
§ 7. Capital Markets
§ 8. Financial Instruments
§ 9. Market Participants
§ 10. Access to the Markets and Market Exit
§ 11. Capital Markets Supervision in Europe
§ 12. Sanctions
3
Market Integrity
§ 13. Foundations
§ 14. Insider Dealing
§ 15. Market Manipulation
4
Disclosure System
§ 16. Foundations
§ 17. Prospectus Disclosure
§ 18. Periodic Disclosure
§ 19. Disclosure of Inside Information
viii Summary Contents
§ 20. Disclosure of Major Holdings
§ 21. Directors' Dealings
§ 22. Access to Information
§ 23. Disclosure of Corporate Governance Issues
5
Trading Activities
§ 24. Short Sales and Credit Default Swaps
§ 25. Algorithmic Trading and High-Frequency Trading
6
Intermediaries
§ 26. Financial Analysts
§ 27. Rating Agencies
§ 28. Proxy Advisors
7
Financial Services
§ 29. Foundations
§ 30. Product Governance and Product Intervention
§ 31. Investment Advisory Services
8
Organisational Requirements for Investment Firms
§ 32. Compliance (Foundations)
§ 33. Compliance (Organisational Requirements)
§ 34. Corporate Governance
9
Regulation of Benchmarks
§ 35. Foundations
§ 36. Market Supervision and Organisational Requirements
10
Takeover Law
§ 37. Foundations
§ 38. Public Takeovers
§ 39. Disclosure of Defensive Structures and Mechanisms
§ 40. Mandatory Bid
11
Conclusion
§ 41. Review and Outlook

Reviews

“The book edited by Professor Rüdiger Veil is of great interest. It opens ways of thinking and addresses numerous issues clearly. It deserves really to be in our bookcases.” –  Thierry Bonneau, Journal of International Banking Law and Regulation, Volume 28, Issue 9

“… this book provides a good overview on European capital markets law....It explains the general law clearly and it also provides valuable information, in an easy to follow manner, on the various relevant directives. The structure of the book is commendable...It is also practical to have both a shortened and a more detailed list of contents…Students should specifically benefit from this book...The book should also be of value to researchers and practitioners. It can be used as an easy-to-follow guide on the various Directives and the underlying concepts of financial markets law. This book should also provide a good basis for further research to be conducted in this area of law, be it from a European perspective, or from an internationally comparative viewpoint… a valuable source of reference to both practitioners and academics… I would recommend this book.” –  Irene-Marie Esser, Law and Financial Markets Review

“This book contains some excellent material and is a worthwhile contribution to the study of the European capital markets law…a comprehensive study of the main features and foundations of European capital markets regulation. 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, August 2014

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