By Professor Niamh Moloney
As governments world wide withdraw from welfare provision and advertise long term reductions via families in the course of the monetary markets, the safety of retail traders has turn into significantly vital. Taking as a case learn the wide-ranging EC investor-protection regime which now governs EC retail markets after an severe reform interval, this severe, contextual and comparative exam of the character of investor defense explores why the retail investor can be secure, no matter if retail investor engagement with the markets could be inspired and the way investor safety legislation will be designed, quite in mild of the monetary concern. The ebook considers the consequences of the EC's investor security ideas 'on the books' but in addition considers investor security legislations and coverage 'in action', drawing on event from the united kingdom retail industry and specifically the monetary providers Authority's vast retail industry actions, together with the new Retail Distribution assessment and the Treating clients really process.
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Additional resources for How to Protect Investors: Lessons from the EC and the UK (International Corporate Law and Financial Market Regulation)
The retail markets and the ec 19 the reach of the regulatory regime into local markets or the ambition of the EC’s regulatory strategy for the retail markets, underlining the regulatory quality of the harmonized regime. 103 Since then, MiFID has come into force, but progress has remained very slow. 105 Cross-border transactions by individuals were limited and prices, products and distribution channels all varied across local markets. 107 100 101 102 103 104 105 106 107 European Commission, Financial Integration Monitor 2004 (SEC (2004) 559).
Better Regulation (Oxford and Portland, OR: Hart Publishing, 2007), p. 19. See further chs. 2 and 7. Optem Report, p. 16. The Report found that ‘in a number of countries (Eastern European Member States, Italy, Ireland and the UK), the Commission was seen as the institution that was most capable of regulating a sector that has been dogged by scandal’ (p. 117). Comments included ‘I think it’s great that they [the EC] are trying to do something to help the consumer’ (from the UK) and ‘It’s very positive that the [Commission] pays attention to a sector of the financial market where – at least in Italy – so many frauds have damaged thousands of honest citizens who were simply looking to protect their life’s savings’ (from Italy) (p.
87 Although regulators have been struggling domestically with how to design effective investment product disclosure, there appears to have been little resistance to the current UCITS ‘Key Investor Information’ (KII) reform, although it removes Member State discretion in this area (chapter 5). 88 The industry also appears conscious of the likelihood but also the potential value of EC intervention. The FSA’s massive Retail Distribution Review generated some resistance to the FSA’s reforms given the risk that 84 85 86 87 88 Consultation Paper No.