The Resource Protecting investors in financial times : the design and functioning of the legal protection of retail investors, Antonio Marcacci

Protecting investors in financial times : the design and functioning of the legal protection of retail investors, Antonio Marcacci

Label
Protecting investors in financial times : the design and functioning of the legal protection of retail investors
Title
Protecting investors in financial times
Title remainder
the design and functioning of the legal protection of retail investors
Statement of responsibility
Antonio Marcacci
Creator
Contributor
Subject
Language
eng
Summary
This thesis studies and analyzes the current paradigm governing the legal protection of retail investors in the United States and the European Union, by framing both of the legal systems within the transnational financial regulatory arena. In order to do so, the thesis carries out an evolutionary analysis of the European and American statutes dealing with financial markets regulation and gives an account, also grounded on the previous professional experience of the author, concerning the relationship between a retail investor and an investment services provider. It, then, examines whether and how far the US and EU legal systems either are affected by or affect transnational financial regulation, namely those (soft-law) rules adopted by the International Organization of Securities Commissions IOSCO, in particular as regards the protection of retail investors. Subsequently, the thesis describes the Organization's governance structure, the decision-making process, the content of its financial rules and how far these are implemented into national domestic legislation. The third and last part of the thesis gives an analysis of the different legal tools provided by the European and American systems for public and collective private enforcement mechanisms, with the purpose to check whether a set of tools is preferred over the other (private VS public), and how far retail investors have the chance to concretely protect their rights. At the end, an assessment will be provided regarding the workability of the current paradigm from the point of view of retail investors
Member of
Cataloging source
IT-FiEUI
http://library.link/vocab/creatorName
Marcacci, Antonio
Date time place
Defence date: 3 July 2013
Dissertation note
Thesis (Ph. D.)--European University Institute (LAW), 2013.
Index
no index present
Literary form
non fiction
Nature of contents
theses
http://library.link/vocab/relatedWorkOrContributorName
European University Institute
Series statement
  • EUI PhD theses
  • EUI theses
http://library.link/vocab/subjectName
  • Investments
  • Investments
  • Banking law
  • Banking law
  • International finance
Label
Protecting investors in financial times : the design and functioning of the legal protection of retail investors, Antonio Marcacci
Instantiates
Publication
Note
Examining Board: Professor Hans-Wolfgang Micklitz, European University Institute (EUI Supervisor); Professor Giorgio Monti, European University Institute; Professor Mads Andenæs, Universiteteti Oslo; Professor Jan Wouters, Katholieke Universiteit Leuven
Bibliography note
Includes bibliographical references (pages 364-381)
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier.
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent.
Control code
FIEb17353683
Dimensions
30 cm.
Extent
381 pages
Media category
unmediated
Media MARC source
rdamedia.
Media type code
  • n
System control number
(OCoLC)881359696
Label
Protecting investors in financial times : the design and functioning of the legal protection of retail investors, Antonio Marcacci
Publication
Note
Examining Board: Professor Hans-Wolfgang Micklitz, European University Institute (EUI Supervisor); Professor Giorgio Monti, European University Institute; Professor Mads Andenæs, Universiteteti Oslo; Professor Jan Wouters, Katholieke Universiteit Leuven
Bibliography note
Includes bibliographical references (pages 364-381)
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier.
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent.
Control code
FIEb17353683
Dimensions
30 cm.
Extent
381 pages
Media category
unmediated
Media MARC source
rdamedia.
Media type code
  • n
System control number
(OCoLC)881359696

Library Locations

    • Badia FiesolanaBorrow it
      Via dei Roccettini 9, San Domenico di Fiesole, 50014, IT
      43.803074 11.283055
Processing Feedback ...