Reforming Corporate Retail Investor Protection

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Reforming Corporate Retail Investor Protection

Author : Diane Bugeja
Publisher : Bloomsbury Publishing
ISBN 13 : 1509925872
Total Pages : 256 pages
Book Rating : 4.5/5 (99 download)

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Book Synopsis Reforming Corporate Retail Investor Protection by : Diane Bugeja

Download or read book Reforming Corporate Retail Investor Protection written by Diane Bugeja and published by Bloomsbury Publishing. This book was released on 2019-12-12 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt: The spate of mis-selling episodes that have plagued the financial services industries in recent years has caused widespread detriment to investors. Notwithstanding numerous regulatory interventions, curtailing the incidence of poor investment advice remains a challenge for regulators, particularly because these measures are taken in a 'fire-fighting' fashion without adequate consideration being given to the root causes of mis-selling. Against this backdrop, this book focuses on the sale of complex investment products to corporate retail investors by drawing upon the widespread mis-selling of interest rate hedging products (IRHP) in the UK and beyond. It brings to the fore the relatively understudied field concerning the different degrees of investor protection mechanisms applicable to individual retail investors – as opposed to corporate retail investors – by taking stock of past regulatory reforms and forthcoming regulatory initiatives as well as, more importantly, the conclusions reached by the judiciary in IRHP mis-selling claims. The conclusions are particularly interesting: corporate retail investors are in a vulnerable position when compared to individual retail investors. The former are exposed to a heightened risk of mis-selling, meaning that regulatory intervention should be targeted accordingly. The recommendations made as a result of these findings are further supported by insights emerging from behavioural law and economic theories. This book is aimed at researchers, lawyers and students with an interest in the financial regulation field who are keen to explore potential regulatory reforms to the investment services regime that address the root causes of mis-selling, and restore a level playing field amongst all retail investors.

How to Protect Investors

Author : Niamh Moloney
Publisher : Cambridge University Press
ISBN 13 : 1139485555
Total Pages : pages
Book Rating : 4.1/5 (394 download)

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Book Synopsis How to Protect Investors by : Niamh Moloney

Download or read book How to Protect Investors written by Niamh Moloney and published by Cambridge University Press. This book was released on 2010-01-21 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: As governments around the world withdraw from welfare provision and promote long-term savings by households through the financial markets, the protection of retail investors has become critically important. Taking as a case study the wide-ranging EC investor-protection regime which now governs EC retail markets after an intense reform period, this critical, contextual and comparative examination of the nature of investor protection explores why the retail investor should be protected, whether retail investor engagement with the markets should be encouraged and how investor protection laws should be designed, particularly in light of the financial crisis. The book considers the implications of the EC's investor protection rules 'on the books' but also considers investor protection law and policy 'in action', drawing on experience from the UK retail market and in particular the Financial Services Authority's extensive retail market activities, including the recent Retail Distribution Review and the Treating Customers Fairly strategy.

Retail Investor in Focus

Author : Parimala Veluvali
Publisher : Springer
ISBN 13 : 3030127567
Total Pages : 137 pages
Book Rating : 4.0/5 (31 download)

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Book Synopsis Retail Investor in Focus by : Parimala Veluvali

Download or read book Retail Investor in Focus written by Parimala Veluvali and published by Springer. This book was released on 2019-05-17 with total page 137 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book focuses on the regulatory aspect of retail investor protection in the context of Initial Public Offerings (IPOs) in the Indian securities market. The book captures the salient policy changes that have transformed the IPO markets in India from their rudimentary structure at their present advanced structure. While primary markets reforms in India have been an ongoing endeavor, there has been a renewed emphasis in the recent past on reforming the market keeping the retail investors in focus. Greater retail participation is the intended objective of the reforms agenda. The book assesses retail participation in all the IPOs that have been floated between the period 2012-2017 in terms of their subscriptions, size of investment and quantum of applications. The book also provides a concise overview of the significant legislative developments that have been enacted keeping the retail investor in focus.

Capital Markets Regulatory Reform

Author : United States. Congress. House. Committee on Financial Services
Publisher :
ISBN 13 :
Total Pages : 328 pages
Book Rating : 4.:/5 (327 download)

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Book Synopsis Capital Markets Regulatory Reform by : United States. Congress. House. Committee on Financial Services

Download or read book Capital Markets Regulatory Reform written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2010 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Additional Reforms to the Securities Investor Protection Act

Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 280 pages
Book Rating : 4.:/5 (327 download)

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Book Synopsis Additional Reforms to the Securities Investor Protection Act by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises

Download or read book Additional Reforms to the Securities Investor Protection Act written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2010 with total page 280 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Investor Protection in Europe

Author : Guido Ferrarini
Publisher : Oxford University Press on Demand
ISBN 13 : 9780199202911
Total Pages : 509 pages
Book Rating : 4.2/5 (29 download)

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Book Synopsis Investor Protection in Europe by : Guido Ferrarini

Download or read book Investor Protection in Europe written by Guido Ferrarini and published by Oxford University Press on Demand. This book was released on 2006 with total page 509 pages. Available in PDF, EPUB and Kindle. Book excerpt: This collection examines investor protection in Europe, offering a broad and coherent examination of the effects of regulatory competition versus harmonisation. It covers both capital market and company law perspectives and explores clearing, settlement, prospectuses and transparency regulation.

Enhanced Investor Protection After the Financial Crisis

Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 140 pages
Book Rating : 4.:/5 (319 download)

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Book Synopsis Enhanced Investor Protection After the Financial Crisis by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs

Download or read book Enhanced Investor Protection After the Financial Crisis written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2012 with total page 140 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Capital Markets Regulatory Reform

Author : United States. Congress
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781983454141
Total Pages : 326 pages
Book Rating : 4.4/5 (541 download)

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Book Synopsis Capital Markets Regulatory Reform by : United States. Congress

Download or read book Capital Markets Regulatory Reform written by United States. Congress and published by Createspace Independent Publishing Platform. This book was released on 2018 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital markets regulatory reform : strengthening investor protection, enhancing oversight of private pools of capital, and creating a national insurance office : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, October 6, 2009.

Selling Hope, Selling Risk

Author : Donald C. Langevoort
Publisher : Oxford University Press
ISBN 13 : 019022567X
Total Pages : 256 pages
Book Rating : 4.1/5 (92 download)

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Book Synopsis Selling Hope, Selling Risk by : Donald C. Langevoort

Download or read book Selling Hope, Selling Risk written by Donald C. Langevoort and published by Oxford University Press. This book was released on 2016-05-06 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the midst of globalization, technological change, and economic anxiety, we have deep doubts about how well the task of investor protection is being performed. In the U.S., the focus is on the Securities & Exchange Commission. Part of the explanation is economic and political: the failure to know the right balance between investor protection and capital formation, and the resulting battle among interest groups over their preferred solutions. In Selling Hope, Selling Risk, author Donald C. Langevoort argues that regulation is also frustrated at nearly every turn by human nature, as exhibited both on the buy-side (investors) and sell-side (corporate executives, bankers, stockbrokers). There is plenty of savvy and guile, but also ample hope, fear, ego, overconfidence, social contagion and the like that persistently filter and distort the messages regulators try to send. This book is the first sustained effort to link the key initiatives of securities regulation with our burgeoning awareness in the social sciences of how people and organizations really behave in economic settings. It examines why corporate fraud occurs and how best to deter it and compensate its victims; the search for an edge via insider trading; the disclosure apparatus and its gatekeepers; sales efforts and manipulation in Ponzi schemes, internet scams, private offerings and crowdfunding; and how this all helps explain the recent global financial crisis. It ends by turning these insights back on the task of regulation itself, and the strategies (and frustrations) of making regulation work in a financial world that is at once increasingly sophisticated yet deeply human and incurably flawed.

Shareholder-driven Corporate Governance

Author : Anita Indira Anand
Publisher : Oxford University Press
ISBN 13 : 0190096551
Total Pages : 187 pages
Book Rating : 4.1/5 (9 download)

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Book Synopsis Shareholder-driven Corporate Governance by : Anita Indira Anand

Download or read book Shareholder-driven Corporate Governance written by Anita Indira Anand and published by Oxford University Press. This book was released on 2020-02-01 with total page 187 pages. Available in PDF, EPUB and Kindle. Book excerpt: How effectively can governing mechanisms forged before the surge of activist investment continue to protect shareholders and efficiently order capital markets? This is a pressing question for scholars and practitioners of corporate law, as well as for market participants generally. In order to illuminate the extent to which the growing trend of shareholder activism calls for a new understanding of the kind of shareholder-corporate relations the law should facilitate, this book introduces the concept of shareholder-driven corporate governance. This concept refers to the evident phenomenon of shareholder involvement in corporate governance and offers a normative endorsement of this development. In order to secure the benefits of investors' increasing involvement in corporate affairs, regulatory regimes must grapple with a number of considerations. This book is based on the idea that shareholder corporate governance is a welcome development, but that it does not come without regulatory challenges. For one, it requires rejecting the idea that well-ordered capital markets can be achieved through corporate law which is subservient to private ordering. The mandatory character of, for example, securities regulation is vital to fostering shareholder involvement in corporate affairs. Defenders of shareholder corporate governance must also confront the matter of "wolf packs," or loosely formed bands of investors who defy existing regulatory categories but nonetheless exert collective influence. Regulation that is sensitive to both the inadequacies of past approaches to corporate-shareholder relations and the novel challenges posed by increasing shareholder activism will be able to harness activism, allowing capital markets to flourish.

Accounting Reform and Investor Protection

Author : Paul S. Sarbanes
Publisher :
ISBN 13 : 9780756737566
Total Pages : 644 pages
Book Rating : 4.7/5 (375 download)

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Book Synopsis Accounting Reform and Investor Protection by : Paul S. Sarbanes

Download or read book Accounting Reform and Investor Protection written by Paul S. Sarbanes and published by . This book was released on 2004-02 with total page 644 pages. Available in PDF, EPUB and Kindle. Book excerpt: Vol. II, The Leg. Hist. of the Sarbanes-Oxley Act of ‘02: Account. Reform & Investor Protect. Issues Raised by Enron & Other Co. Witnesses: David Walker, GAO, accomp. by Thomas McCool & Robert Gramling; Robert Glauber, NASD; Joel Seligman, Wash. U. School of Law; Shaun O'Malley, 2000 Public Oversight Bd. Panel on Audit Effect.; Lee Seidler, 1978 AICPA Comm. on Aud. Respon.; Arthur Wyatt, AICPA; Abraham Briloff, Bernard Baruch Coll., CUNY; Bevis Longstreth, O'Malley Comm. ; James Castellano, AICPA; James Copeland, Jr., Deloitte & Touche; James Gerson, AICPA; Robert Litan, Brookings Inst.; Charles Bowsher, Public Oversight Bd., accomp. by Alan Levenson; John Whitehead, Goldman Sachs; & William Seidman, FDIC.

Investment Climate Reforms

Author : World Bank World Bank
Publisher : World Bank Publications
ISBN 13 : 1464806292
Total Pages : 250 pages
Book Rating : 4.4/5 (648 download)

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Book Synopsis Investment Climate Reforms by : World Bank World Bank

Download or read book Investment Climate Reforms written by World Bank World Bank and published by World Bank Publications. This book was released on 2015-11-02 with total page 250 pages. Available in PDF, EPUB and Kindle. Book excerpt: Private firms are at the forefront of the development process, providing more than 90 percent of jobs, supplying goods and services, and representing a significant source of tax revenues. Their ability to grow, create jobs, and reduce poverty depends critically on a well-functioning investment climate--defined as the policy, legal, and institutional arrangements underpinning the functioning of markets and the level of transaction costs and risks associated with starting, operating, and closing a business. The World Bank Group has provided extensive support to investment climate reforms. This evaluation by the Independent Evaluation Group (IEG) assesses the relevance, effectiveness, and social value of World Bank Group support to investment climate reforms as it relates to concerns for inclusion and shared prosperity. IEG finds that the World Bank Group has supported a comprehensive menu of investment climate reforms and has improved investment climate in countries, as measured by number of laws enacted, streamlining of processes and time, or simple cost savings for private firms. However, the impact on investment, jobs, business formation, and growth is not straightforward. Regulatory reforms need to be designed and implemented with both economic and social costs and benefits in mind; IEG found that, in practice, World Bank Group support focuses predominantly on reducing costs to businesses. In supporting investment climate reforms, the World Bank and the International Finance Corporation use two distinct but complementary business models. Despite the fact that investment climate is the most integrated business unit in the World Bank Group, coordination is mostly informal, relying mainly on personal contacts. IEG recommends that the World Bank Group expand its range of diagnostic tools and integrate them in the areas of the business environment not yet covered by existing tools; develop an approach to identify the social effects of regulatory reforms on all groups expected to be affected by them beyond the business community; and exploit synergies by ensuring that World Bank and IFC staff improve their understanding of each other's work and business models.

Doing Business 2020

Author : World Bank
Publisher : World Bank Publications
ISBN 13 : 1464814414
Total Pages : 241 pages
Book Rating : 4.4/5 (648 download)

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Book Synopsis Doing Business 2020 by : World Bank

Download or read book Doing Business 2020 written by World Bank and published by World Bank Publications. This book was released on 2019-11-21 with total page 241 pages. Available in PDF, EPUB and Kindle. Book excerpt: Seventeen in a series of annual reports comparing business regulation in 190 economies, Doing Business 2020 measures aspects of regulation affecting 10 areas of everyday business activity.

Doing Business 2018

Author : World Bank
Publisher : World Bank Publications
ISBN 13 : 1464811474
Total Pages : 236 pages
Book Rating : 4.4/5 (648 download)

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Book Synopsis Doing Business 2018 by : World Bank

Download or read book Doing Business 2018 written by World Bank and published by World Bank Publications. This book was released on 2017-11-14 with total page 236 pages. Available in PDF, EPUB and Kindle. Book excerpt: Fifteen in a series of annual reports comparing business regulation in 190 economies, Doing Business 2018 measures aspects of regulation affecting 10 areas of everyday business activity: • Starting a business • Dealing with construction permits • Getting electricity • Registering property • Getting credit • Protecting minority investors • Paying taxes • Trading across borders • Enforcing contracts • Resolving insolvency These areas are included in the distance to frontier score and ease of doing business ranking. Doing Business also measures features of labor market regulation, which is not included in these two measures. The report updates all indicators as of June 1, 2017, ranks economies on their overall “ease of doing business†?, and analyzes reforms to business regulation †“ identifying which economies are strengthening their business environment the most. Doing Business illustrates how reforms in business regulations are being used to analyze economic outcomes for domestic entrepreneurs and for the wider economy. It is a flagship product produced in partnership by the World Bank Group that garners worldwide attention on regulatory barriers to entrepreneurship. More than 137 economies have used the Doing Business indicators to shape reform agendas and monitor improvements on the ground. In addition, the Doing Business data has generated over 2,182 articles in peer-reviewed academic journals since its inception. Data Notes; Distance to Frontier and Ease of Doing Business Ranking; and Summaries of Doing Business Reforms in 2016/17 can be downloaded separately from the Doing Business website.

The Future of the Corporation

Author : PLM (Firm)
Publisher : New York : Mason & Lipscomb Publishers
ISBN 13 :
Total Pages : 232 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis The Future of the Corporation by : PLM (Firm)

Download or read book The Future of the Corporation written by PLM (Firm) and published by New York : Mason & Lipscomb Publishers. This book was released on 1974 with total page 232 pages. Available in PDF, EPUB and Kindle. Book excerpt: Papers from a conference sponsored by PLM in Malmo, Sweden, June 1970. Includes bibliographical references.

Reforming the Chinese Electricity Supply Sector

Author : Michael G. Pollitt
Publisher : Springer Nature
ISBN 13 : 303039462X
Total Pages : 279 pages
Book Rating : 4.0/5 (33 download)

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Book Synopsis Reforming the Chinese Electricity Supply Sector by : Michael G. Pollitt

Download or read book Reforming the Chinese Electricity Supply Sector written by Michael G. Pollitt and published by Springer Nature. This book was released on 2020-06-29 with total page 279 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Chinese electricity sector is the largest in the world, covering well over 20% of the world's electricity supply. While many other countries liberalized their electricity systems in the 1990s, thereby creating competitive wholesale and retail electricity markets, China’s move towards liberalization has advanced at a slower pace – until now. Following the China State Council's publication of the No. 9 document on 'Deepening Reform of the Power Sector', this book reflects on the ambitious new round of reforms aimed at introducing competitive wholesale electricity markets and incentive regulation for its power grids. Written in collaboration with Hao Chen, Lewis Dale and Chung-Han Yang, this book provides lessons for China’s reforms from international experience, combining a detailed review of reforms from around the world with specific application to China and focuses on how the industrial price of electricity is determined in a liberalized power system.

Corporations Law

Author : Jeswynn Yogaratnam
Publisher :
ISBN 13 : 9780455237961
Total Pages : 850 pages
Book Rating : 4.2/5 (379 download)

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Book Synopsis Corporations Law by : Jeswynn Yogaratnam

Download or read book Corporations Law written by Jeswynn Yogaratnam and published by . This book was released on 2016-10-13 with total page 850 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporations Law: In Principle, 10th edition, continues its tradition of being one of the most easy to understand texts on corporate law in Australia. Since the last edition, there have been many significant developments in both legislation and case law as a result of a range of government reviews and administrative changes.