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作者 Boskovic, Tanja
書名 Comparing European and U.S. Securities Regulations : MiFID versus Corresponding U.S. Regulations
出版項 Herndon : World Bank Publications, 2009
©2010
國際標準書號 9780821382547 (electronic bk.)
9780821382530
book jacket
說明 1 online resource (257 pages)
text txt rdacontent
computer c rdamedia
online resource cr rdacarrier
系列 World Bank Working Papers
World Bank Working Papers
附註 Cover -- Title -- Copyright -- Contents -- Acknowleadgments -- Acronyms and Abbreviations -- Executive Summary -- Introduction -- 1. Regulatory Framework and Oversight -- EU Securities Framework -- U.S. Securities Framework -- 2. Scope of the Securities Regulations -- The EU Securities Regulations Focus on Investment Firms and Trading Venues -- The U.S. Securities Regulations Focus on Broker-Dealers and Exchanges -- 3. Objectives of the Securities Regulations in Europe and the United States -- Objectives of the EU Securities Regulations -- Objectives of the U.S. Securities Regulations -- 4. Implementation of the Different Objectives -- As Regards Competition/Fair and Orderly Markets -- As Regards Investors' Protection -- As Regards Price Discovery: Pre and Post-Trade Transparency Requirements -- 5. Post-Financial Crisis Lessons -- Better Supervision of Large and Interconnected Financial Institutions -- Increase Market Transparency -- Enhance Capital and Liquidity Requirements -- 6. Conclusion and Areas for Future Research -- Appendixes -- Technical Appendix 1: Pre and Post Trade Transparency Requirements, Europe and the United States -- Technical Appendix 2: Detailed Comparative Analysis -- References -- Back Cover
The paper compares the EU and US securities regulations, and specifically MiFID with the corresponding US regulations. It primarily focuses on the regulatory and supervisory framework, trading venues, and the provision of investment services.The paper argues that the architecture and some of the rules regarding securities markets are different in the two regions, but the objectives and some of the outcomes are similar. It looks at the regulatory frameworks, the scope and objectives of securities regulations, the rules implementing the different objectives, and draws some crisis-related lessons.The primary audience of this study is professionals, government officials and scholars working in the field of securities regulations
Description based on publisher supplied metadata and other sources
Electronic reproduction. Ann Arbor, Michigan : ProQuest Ebook Central, 2020. Available via World Wide Web. Access may be limited to ProQuest Ebook Central affiliated libraries
鏈接 Print version: Boskovic, Tanja Comparing European and U.S. Securities Regulations : MiFID versus Corresponding U.S. Regulations Herndon : World Bank Publications,c2009 9780821382530
主題 European Parliament. -- Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments.;Securities -- European Union countries.;Securities -- United States
Electronic books
Alt Author Cerruti, Caroline
Noel, Michel
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