Abstract
The book revolves around the legal protection of retail investors under the European Union law. Although it originally stems from the “on-the-books” studies of the author, it has been enhanced by his subsequent “in-action” professional experience as Compliance Professional in the European banking and financial industry. For this reason, the book is intended for both Compliance Professionals and academic scholars interested in this topic, and the language and jargon employed are meant to adapt to both audiences.
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Notes
- 1.
The European Regulatory Private Law theory has been developed over the years by Professor Hans-Wolfgang Micklitz. Among the theory’s founding texts, the following is to be mentioned: Hans-Wolfgang Micklitz, “The Visible Hand of European Regulatory Private Law—the Transformation of European Private Law from Autonomy to Functionalism in Competition and Regulation,” Yearbook of European Law 28, no. 1 (2009).
- 2.
Within the context of this book, “private enforcement mechanisms” englobe the enforcement actions brought by private parties—either individually or collectively—before civil courts and Alternative Dispute Resolution schemes such as arbitration. On the other side of the spectrum, “public enforcement mechanisms” englobe the enforcement actions brought by public supervisory authorities.
- 3.
The “embedding of rules into investment firms” means the transformation of extra-firm rules (legal norms produced by public rulemakers) into intra-firm rules (internal compliance requirements).
Bibliography
Centre for Economic Policy Research. “The Fundamental Principles of Financial Regulation – Geneva Reports on the World Economy 11.” International Center for Monetary and Banking Studies, 2009.
Grundmann, Stefan, and Falko Glasow. European Company Law: Organization, Finance and Capital Markets. 2nd ed. Cambridge: Intersentia, 2012.
Micklitz, Hans-Wolfgang. “The Visible Hand of European Regulatory Private Law – The Transformation of European Private Law from Autonomy to Functionalism in Competition and Regulation.” Yearbook of European Law 28, no. 1 (2009): 3–59.
Tuch, Andrew. “Conduct of Business Regulation.” In The Oxford Handbook of Financial Regulation, edited by Niamh Moloney, Eilís Ferran and Jennifer Payne. Oxford: Oxford University Press, 2015.
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Marcacci, A. (2018). Introduction. In: Regulating Investor Protection under EU Law. Palgrave Macmillan, Cham. https://doi.org/10.1007/978-3-319-90297-5_1
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DOI: https://doi.org/10.1007/978-3-319-90297-5_1
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