Legal Accountability In Eu Markets For Financial Instruments

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Legal Accountability in EU Markets for Financial Instruments

Author : Carl Fredrik Bergström
Publisher : Oxford University Press
ISBN 13 : 019284928X
Total Pages : 369 pages
Book Rating : 4.1/5 (928 download)

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Book Synopsis Legal Accountability in EU Markets for Financial Instruments by : Carl Fredrik Bergström

Download or read book Legal Accountability in EU Markets for Financial Instruments written by Carl Fredrik Bergström and published by Oxford University Press. This book was released on 2022-01-22 with total page 369 pages. Available in PDF, EPUB and Kindle. Book excerpt: The proper functioning of the EU financial market is protected by public actors - both national and supranational - responsible for rulemaking and supervision of investment firms and other private actors. At the same time the effectiveness of the EU legal system requires vigilance from private actors such as investment firms but also their clients, invoking their rights before national authorities and courts. This means that investment firms have a dual role within the system, turning them into subjects of control and enforcement but also agents in the maintenance of the rule of law. Legal Accountability in EU Markets for Financial Instruments brings together a group of scholars with expertise from different legal disciplines but a shared interest for the EU internal market and the way it develops. It integrates a modern study of the form and function of EU rulemaking in the internal market after the financial crisis. The book includes an evaluation of core aspects of rulemaking in the financial market and that way provides a cross-cutting treatment of EU law. The focus of the book is set on the regulatory framework in MiFIDII and MiFIR and thematic questions around legal mechanisms for accountability and the role of investment firms in the operation of those mechanisms. It further discusses the implications for EU law and the EU legal system and gives readers a thorough understanding of the concept of accountability through its own findings.

Regulating Finance in Europe

Author : HŽritier, Adrienne
Publisher : Edward Elgar Publishing
ISBN 13 : 1800379595
Total Pages : 200 pages
Book Rating : 4.8/5 (3 download)

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Book Synopsis Regulating Finance in Europe by : HŽritier, Adrienne

Download or read book Regulating Finance in Europe written by HŽritier, Adrienne and published by Edward Elgar Publishing. This book was released on 2021-11-05 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt: This timely book presents an in-depth investigation of who benefits from European financial market regulatory measures and how decision-makers and stakeholders are held politically and administratively accountable. The extensive study illustrates the full range of the actors involved in key regulatory processes such as the regulation of high-frequency trading and the activities of central-clearing counterparties.

The Role of Law and Regulation in Sustaining Financial Markets

Author : Niels Philipsen
Publisher : Routledge
ISBN 13 : 1317750403
Total Pages : 389 pages
Book Rating : 4.3/5 (177 download)

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Book Synopsis The Role of Law and Regulation in Sustaining Financial Markets by : Niels Philipsen

Download or read book The Role of Law and Regulation in Sustaining Financial Markets written by Niels Philipsen and published by Routledge. This book was released on 2014-11-13 with total page 389 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book explores the role of law and regulation in sustaining financial markets in both developed and developing countries, particularly the European Union, United States and China. The central argument of this book is that law matters for the operation of financial markets, which, in turn, significantly influences the performance of firms, industries, and economies. The Role of Law and Regulation in Sustaining Financial Markets is divided into four parts. Part one addresses the connection between law, financial development, and economic growth. Part two deals with the role of financial regulation, which can be used to correct market failures, such as negative externalities, information asymmetries, and monopolies. Part three focuses on the design, functioning, and performance of different financial instruments. Part four examines the topic of Corporate Social Responsibility. This book contributes to the ‘law and finance’ literature by studying certain conventional issues, such as the relationship between finance and economic growth, and the effects of regulatory quality on financial development, from new perspectives and/or with new evidence, data, and cases. It also explores novel topics, such as project finance contracts, insurance and climate change, the shadow banking system, that have been overlooked in current literature. This book is meaningful not only for the EU and the US, which have suffered considerably from the financial crisis of 2008, but also for China, which is struggling to build a sound institutional infrastructure to govern its increasingly complicated financial system. By comparing the regulatory philosophies and practices of the EU, the US and China, this book will help the reader to understand the diverse nature of the global ‘law and finance’ nexus and avoid succumbing to the myth of "one size fits all".

The Individual in the Economic and Monetary Union

Author : Ana Bobić
Publisher :
ISBN 13 : 9781009207935
Total Pages : 0 pages
Book Rating : 4.2/5 (79 download)

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Book Synopsis The Individual in the Economic and Monetary Union by : Ana Bobić

Download or read book The Individual in the Economic and Monetary Union written by Ana Bobić and published by . This book was released on 2023 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The European Union's response to the financial crisis was designed in a way that prevented EU citizens from holding decision-makers accountable. This book reimagines legal accountability by focusing on the citizen, who should be at the centre of the common interest in the EU, with solidarity and equality as guiding principles"--

MiFID II and Private Law

Author : Federico Della Negra
Publisher :
ISBN 13 : 9781509925322
Total Pages : 244 pages
Book Rating : 4.9/5 (253 download)

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Book Synopsis MiFID II and Private Law by : Federico Della Negra

Download or read book MiFID II and Private Law written by Federico Della Negra and published by . This book was released on 2019 with total page 244 pages. Available in PDF, EPUB and Kindle. Book excerpt: "In the wake of the global financial crisis, investors have suffered significant losses as a result of breaches of conduct of business rules in the distribution of financial instruments. MiFID II introduced new disclosure, distribution and product governance rules to strengthen the protection of investors but, like MiFID I, did not harmonise the civil law consequences for their violation. This book asks whether, in spite of the silence of the EU legislators, the MiFID II conduct of business rules may produce civil law effects, enabling investors to enforce them against investment firms before national courts and alternative dispute resolution (ADR) mechanisms. Building on the case law of the CJEU, the book shows the conditions under which the breach of MiFID II conduct of business rules should give rise to a private law remedy, and what remedies would be compatible with EU law. MiFID II and Private Law is an essential contribution to academic research in EU and financial law and will be a key text for policy-makers and legal practitioners working in the field of investor protection regulation and mis-selling litigation."--Bloomsbury Publishing.

European Capital Markets Law

Author : Rüdiger Veil
Publisher :
ISBN 13 : 9781509942145
Total Pages : 688 pages
Book Rating : 4.9/5 (421 download)

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Book Synopsis European Capital Markets Law by : Rüdiger Veil

Download or read book European Capital Markets Law written by Rüdiger Veil and published by . This book was released on 2022 with total page 688 pages. Available in PDF, EPUB and Kindle. Book excerpt: ""The richness, clarity and nuances of the structure and methodology followed by the contributors make the book a very valuable tool for students... 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 3rd edition deals with 3 central developments: the project of the capital markets union; sustainable finance; and the further digitalisation of financial instruments and securities markets. The 1st chapter deals with the foundations of capital markets law in Europe, the 2nd explains the basics, and the 3rd examines the regime on market abuse. Chapter 4 explores the disclosure system and chapter 5 short-selling and high-frequency trading. The role of intermediaries, such as financial analysts, rating agencies, and proxy advisers, is described in chapter 6. Chapter 7 explains compliance and corporate governance in investment firms and chapter 8 illustrates the regulation of benchmarks. Finally, chapter 9 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. This is essential reading for students involved in the study of capital markets law and financial law."--

Digitalisation, Sustainability, and the Banking and Capital Markets Union

Author : Lukas Böffel
Publisher : Springer Nature
ISBN 13 : 3031170776
Total Pages : 439 pages
Book Rating : 4.0/5 (311 download)

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Book Synopsis Digitalisation, Sustainability, and the Banking and Capital Markets Union by : Lukas Böffel

Download or read book Digitalisation, Sustainability, and the Banking and Capital Markets Union written by Lukas Böffel and published by Springer Nature. This book was released on 2022-12-30 with total page 439 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book covers three topics that have dominated financial market regulation and supervision debates: digital finance, sustainable finance, and the Banking and Capital Markets Union. Within the first part, seven chapters will tackle specific questions arising in digital finance, including but not limited to artificial intelligence, tokenisation, and international regulatory cooperation in digital financial services. The second part addresses one of humanity’s most pressing issues today: the climate crisis. The quest for sustainable finance is driven by political actors and a common understanding that climate change is a severe threat. As financial institutions are a cornerstone of human interaction, they are in the regulatory spotlight. The chapters explore sustainability in EU banking and insurance regulation, the interrelationship between systemic risk and sustainability, and the ‘greening’ of EU monetary policy. The third part analyses two projects that have led to huge structural changes in the European financial market architecture over the last decade: the European Banking Union and Capital Markets Union. This transformation has raised numerous legal questions that can only gradually be answered in all their intricacies. In four chapters, this book examines composite procedures, property rights of depositors in banking resolution, preemptive financing arrangements and the phenomenon of subsidiarisation in the context of Brexit. Of interest to academics, policymakers, practitioners, and students in the field of EU financial regulation, banking law, securities law, and regulatory law, this book offers a compilation of analyses on pressing banking and capital markets law problems.

Routes to a Resilient European Union

Author : Antonina Bakardjieva Engelbrekt
Publisher : Springer Nature
ISBN 13 : 303093165X
Total Pages : 267 pages
Book Rating : 4.0/5 (39 download)

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Book Synopsis Routes to a Resilient European Union by : Antonina Bakardjieva Engelbrekt

Download or read book Routes to a Resilient European Union written by Antonina Bakardjieva Engelbrekt and published by Springer Nature. This book was released on 2022-04-25 with total page 267 pages. Available in PDF, EPUB and Kindle. Book excerpt: The fifth volume of the Interdisciplinary European Studies series aims to explore the EU’s pursuit of societal resilience and its role in the transition to a green economy. It brings together scholars from economics, law, and political science to provide insights related to climate change and the protection of the environment, the role of innovation in the green economy, resilience of national public health systems after the COVID-19 pandemic, regulatory resilience in the face of financial instability, and immigration. All chapters are based on up-to-date research, succinct assessment of the current state of affairs, and ongoing debates. They conclude with policy recommendations for decision-makers on European and national levels. Legal Preconditions for an Environmentally Sustainable European Union” is available open access under a Creative Commons Attribution 4.0 International License via link.springer.com.

EU Law of Economic & Monetary Union

Author : Fabian Amtenbrink
Publisher : Oxford University Press
ISBN 13 : 0192512498
Total Pages : 1808 pages
Book Rating : 4.1/5 (925 download)

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Book Synopsis EU Law of Economic & Monetary Union by : Fabian Amtenbrink

Download or read book EU Law of Economic & Monetary Union written by Fabian Amtenbrink and published by Oxford University Press. This book was released on 2020-05-21 with total page 1808 pages. Available in PDF, EPUB and Kindle. Book excerpt: Presenting a sweeping analysis of the legal foundations, institutions, and substantive legal issues in EU monetary integration, The EU Law of Economic and Monetary Union serves as an authoritative reference on the legal framework of European economic and monetary union. The book opens by setting out the broader contexts for the European project - historical, economic, political, and regarding the international framework. It goes on to examine the constitutional architecture of EMU; the main institutions and their legal powers; the core legal provisions of monetary and economic union; and the relationship of EMU with EU financial market and banking regulation. The concluding section analyses the current EMU crisis and the main avenues of future reform.

The Law of the European Union and the European Communities

Author : Pieter Jan Kuijper
Publisher : Kluwer Law International B.V.
ISBN 13 : 9041154124
Total Pages : 1456 pages
Book Rating : 4.0/5 (411 download)

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Book Synopsis The Law of the European Union and the European Communities by : Pieter Jan Kuijper

Download or read book The Law of the European Union and the European Communities written by Pieter Jan Kuijper and published by Kluwer Law International B.V.. This book was released on 2018-09-28 with total page 1456 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law of the European Union is a complete reference work on all aspects of the law of the European Union, including the institutional framework, the Internal Market, Economic and Monetary Union and external policy and action. Completely revised and updated, with many newly written chapters, this fifth edition of the most thorough resource in its field provides the most comprehensive and systematic account available of the law of the European Union (EU). Written by a new team of experts in their respective areas of European law, its coverage incorporates and embraces many current, controversial, and emerging issues and provides detailed attention to historical development and legislative history of EU law. Topics that are constantly debated in European legal analysis and practice are touched on in ways that are both fundamental and enlightening, including the following: .powers and functions of the EU law institutions and relationship among them; .the principles of equality, loyalty, subsidiarity, and proportionality; .free movement of persons, goods, services, and capital; .mechanisms of constitutional change – treaty revisions, accession treaties, withdrawal agreements; .budgetary principles and procedures; .State aid rules; .effect of Union law in national legal systems; .coexistence of EU, European Convention of Human Rights (ECHR), and national fundamental rights law; .migration and asylum law; .liability of Member States for damage suffered by individuals; .competition law – cartels, abuse of dominant position, merger control; .social policy, equal pay, and equal treatment; .environmental policy, consumer protection, public health, cultural policy, education, and tourism; .nature of EU citizenship, its acquisition, and loss; and .law and policy of the EU’s external relations. The fifth edition embraces many new, ongoing, and emerging European legal issues. As in the previous editions, the presentation is notable for its attention to how the law relates to economic and political realities and how the various policy areas interact with each other and with the institutional framework. The many practitioners and scholars who have relied on the predecessors of this definitive work for years will welcome this extensively revised and updated edition. Those coming to the field for the first time will instantly recognize that they are in the presence of a masterwork that can always be turned to with profit and that helps in understanding the rationale underlying any EU law provision or principle.

Boards of Appeal of EU Agencies

Author : Merijn Chamon
Publisher : Oxford University Press
ISBN 13 : 0192665979
Total Pages : 369 pages
Book Rating : 4.1/5 (926 download)

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Book Synopsis Boards of Appeal of EU Agencies by : Merijn Chamon

Download or read book Boards of Appeal of EU Agencies written by Merijn Chamon and published by Oxford University Press. This book was released on 2022-03-10 with total page 369 pages. Available in PDF, EPUB and Kindle. Book excerpt: While the EU agencies that have been granted the power to adopt binding decisions are a diverse group, they at least share one feature: in all of them an organisationally separate administrative review body, i.e. a board of appeal, has been established. The review procedures before these boards must be exhausted before private parties can seize the EU courts and the boards therefore all fulfil a similar function: filtering cases before they end up before the courts and providing parties by expert-driven review. Sharing this common function as well as some common features, the boards of appeal of the different agencies remain heterogenous in their set up and functioning. This raises a host of questions from both a theoretic and practical perspective which this volume analyses in depth: how do the boards function, which kind of review do they offer, and how should they be conceptualized in the EU's overall system of legal protection against administrative action? To answer these questions, the volume's first part presents a series of case studies, covering all the EU boards of appeal currently in existence, while a second part looks into the horizontal issues raised by the phenomenon of the boards of appeal.

Research Handbook on the Enforcement of EU Law

Author : Miroslava Scholten
Publisher : Edward Elgar Publishing
ISBN 13 : 1802208038
Total Pages : 581 pages
Book Rating : 4.8/5 (22 download)

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Book Synopsis Research Handbook on the Enforcement of EU Law by : Miroslava Scholten

Download or read book Research Handbook on the Enforcement of EU Law written by Miroslava Scholten and published by Edward Elgar Publishing. This book was released on 2023-09-06 with total page 581 pages. Available in PDF, EPUB and Kindle. Book excerpt: This comprehensive Research Handbook investigates the success of EU law enforcement processes. Going beyond traditional analyses of administrations and courts in isolation, it focuses on the increased cooperation seen between national and EU authorities, and on the widening variety of means used to enhance compliance with EU norms.

Regulation of the EU Financial Markets

Author : Danny Busch
Publisher : Oxford Eu Financial Regulation
ISBN 13 : 9780198767671
Total Pages : 0 pages
Book Rating : 4.7/5 (676 download)

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Book Synopsis Regulation of the EU Financial Markets by : Danny Busch

Download or read book Regulation of the EU Financial Markets written by Danny Busch and published by Oxford Eu Financial Regulation. This book was released on 2017 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: PART I: GENERAL ASPECTS 1: Introduction, Danny Busch and Guido Ferrarini PART II: INVESTMENT FIRMS AND INVESTMENT SERVICES 2: The Scope of MiFID II, Kitty Lieverse 3: Governance of Investment Firms under MiFID II, Jens-Hinrich Binder 4: The Overarching Duty to Act in the Best Interest of the Client in MiFID II, Luca Enriques and Matteo Gargantini 5: Product Governance and Product Intervention, Danny Busch 6: Independent Financial Advice, Paolo Giudici 7: Conflicts of Interest, Stefan Grundmann and Philipp Hacker 8: Inducements, Larissa Silverentand, Jasha Sprecher, and Lisette Simons 9: Agency and Principal Dealing Under MiFID, Danny Busch 10: MiFID II/MiFIR's Regime for Third-Country Firms, Danny Busch & Marije Louisse PART III: TRADING 11: TGovernance and Organization of Trading Venues: The Role of Financial Market Infrastructures Groups, Guido Ferrarini & Paolo Saguato 12: EU Financial Governance and Transparency Regulation: A Test for the Effectiveness of Post-Crisis Administrative Governance, Niamh Moloney 13: SME Growth Markets, Carmine di Noia & Rudiger Veil 14: Dark Trading Under MiFID II, Peter Gomber & Ilya Gvozdevskiy 15: Derivatives: Trading, Clearing, STP, Indirect Clearing, and Portfolio Compression, Rezah Stegeman & Aron Berket 16: Commodity Derivatives, Antonella Sciarrone Alibrandi & Edoardo Grossule 17: Algorithmic Trading and High Frequency Trading, Pierre-Henri Conac 18: An American perspective, Merritt Fox PART IV: SUPERVISION AND ENFORCEMENT 19: Public Enforcement of MiFID II, Christos Gortsos 20: The Private Law Effect of MiFID: the Genil Case and Beyond, Danny Busch PART V: THE BROADER VIEW AND THE FUTURE OF MIFID 21: MiFID II: Picking up the Crumbs of a Piecemeal Approach, Veerle Colaert 22: Shadow Banking and the Functioning of Financial Markets, Eddy Wymeersch 23: Investment-based Crowdfunding: Is MiFID II enough?, Guido Ferrarini & Eugenia Macchiavello.

The European Parliament and Delegated Legislation

Author : Merijn Chamon
Publisher : Bloomsbury Publishing
ISBN 13 : 1509931864
Total Pages : 233 pages
Book Rating : 4.5/5 (99 download)

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Book Synopsis The European Parliament and Delegated Legislation by : Merijn Chamon

Download or read book The European Parliament and Delegated Legislation written by Merijn Chamon and published by Bloomsbury Publishing. This book was released on 2022-11-03 with total page 233 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book revisits the Treaty of Lisbon's promise to further parliamentarize the EU's functioning by looking into the Treaty-law framework governing the delegation of legislative power in the EU. In this field, the Lisbon Treaty formally greatly strengthened the position of the European Parliament vis-à-vis both the European Commission and the Council. The book explores whether Parliament's formally reinforced role is reflected in the actual balance of powers in the area of delegated legislation and executive rule-making. It does so by assessing how both the law and practice of decision-making at the legislative level, looking at specific case studies, and the sub-legislative level, examining the scrutiny over delegated legislation, has crystallized in the ten years following the entry into force of the Lisbon Treaty. This rigorous study gives a fascinating insight into one of the most significant developments in European parliamentary law-making, which EU constitutional lawyers will find required reading.

Law Enforcement by EU Authorities

Author : Miroslava Scholten
Publisher : Edward Elgar Publishing
ISBN 13 : 1786434636
Total Pages : 416 pages
Book Rating : 4.7/5 (864 download)

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Book Synopsis Law Enforcement by EU Authorities by : Miroslava Scholten

Download or read book Law Enforcement by EU Authorities written by Miroslava Scholten and published by Edward Elgar Publishing. This book was released on 2017-11-24 with total page 416 pages. Available in PDF, EPUB and Kindle. Book excerpt: EU law and governance have faced a new development – the proliferation of EU enforcement authorities, which have grown in number over the last 15 years. These entities, either acting alone or together with national enforcement authorities, have been investigating and sanctioning private actors on their compliance with EU law. Law Enforcement by EU Authorities investigates whether the system of control (in terms of both judicial and political accountability) has evolved to support the new system of law enforcement in the EU.

Market Abuse Regulation

Author : Marco Ventoruzzo
Publisher : Oxford University Press, USA
ISBN 13 : 9780198811756
Total Pages : 0 pages
Book Rating : 4.8/5 (117 download)

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Book Synopsis Market Abuse Regulation by : Marco Ventoruzzo

Download or read book Market Abuse Regulation written by Marco Ventoruzzo and published by Oxford University Press, USA. This book was released on 2017 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book analyses the European market abuse regime contained in the Market Abuse Regulation (MAR) and related directives and regulations. Written by leading scholars in the field of capital market law from a number of European jurisdictions, the book is divided into two main parts. The first consists of chapters considering relevant issues by topic; whilst the second provides the first article-by-article commentary on the Regulation, with a detailed and technical analysis of its terms. In the first part guidance is arranged by topic and includes aspects not directly addressed by MAR such as enforcement, and the impact of US securities regulation. As well as considering the sources of market abuse regulation in general, this first part also examines its theoretical and economic framework in order to provide better understanding of the Regulation itself.

Banking Law

Author : Andreas Kokkinis
Publisher : Routledge
ISBN 13 : 1000335550
Total Pages : 445 pages
Book Rating : 4.0/5 (3 download)

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Book Synopsis Banking Law by : Andreas Kokkinis

Download or read book Banking Law written by Andreas Kokkinis and published by Routledge. This book was released on 2021-03-16 with total page 445 pages. Available in PDF, EPUB and Kindle. Book excerpt: Banking regulation and the private law governing the bank-customer relationship came under the spotlight as a result of the global financial crisis of 2007–2009. More than a decade later UK, EU and international regulatory initiatives have transformed the structure, business practices, financing models and governance of the banking sector. This authoritative text offers an in-depth analysis of modern banking law and regulation, while providing an assessment of its effectiveness and normative underpinnings. Its main focus is on UK law and practice, but where necessary it delves into EU law and institutions, such as the European Banking Union and supervisory role of the European Central Bank. The book also covers the regulation of bank corporate governance and executive remuneration, the promises and perils of FinTech and RegTech, and the impact of Brexit on UK financial services. Although detailed, the text remains easy to read and reasonably short; pedagogic features such as a glossary of terms and practice questions for each chapter are intended to facilitate learning. It is a useful resource for students and scholars of banking law and regulation, as well as for regulators and other professionals who are interested in reading a precise and evaluative account of this evolving area of law.