Stricto sensu : investor protection under MiFID II : a systematic overview of Articles 24-30 / by Christos Gortsos.

Format:

Book

Author/Creator:

Gortsos, Christos, author.

Language:

English

Subjects (All):

Investments--Law and legislation--Europe.

Investments.

Physical Description:

1 online resource (xiii, 234 pages)

Edition:

1st ed.

Place of Publication:

Newcastle upon Tyne, UK : Cambridge Scholars Publishing, 2018.

Summary:

This study analyses Articles 24-30 of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 "on markets in financial instruments" (MiFID II), which govern, as of January 2018, the most important aspects of investor protection of clients to whom credit institutions and investment firms provide investment services. These Articles contain code-of-conduct and product governance rules, which constitute cornerstones of contemporary EU capital markets law as shaped to address the weaknesses revealed in capital markets' micro-prudential regulation and supervision after the recent international financial crisis of 2007-2009. The book concisely identifies the elements of continuity and change in relation to the repealed Directive 2004/39/EC (MiFID I), while also presenting the detailed delegated acts of the European Commission and Guidelines of the European Securities and Markets Authority (ESMA), which were adopted on the basis of Articles 24-30 MiFID II.

Contents:

Intro

Table of Contents

Analytical Table of Contents

List of Tables

Introduction

Chapter One

A. Primary source

B. Relevant horizontal provisions of MiFID II

Chapter Two

A. General principles

B. In particular: information to clients

Chapter Three

A. Assessment of suitability of persons employed by institutions

B. Assessment of suitability and appropriateness of investment services and financial instruments provided to clients

C. Reporting to clients

Chapter Four

A. Obligation to execute orders on terms most favourable to the client

B. Client order handling rules

Chapter Five

Appendices

Bibliography.

Notes:

Description based on print version record.

Description based on publisher supplied metadata and other sources.

ISBN:

1-5275-1568-0

OCLC:

1046634143