How to Protect Investors

Lessons from the EC and the UK

Niamh Moloney (London School of Economics and Political Science)

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Hardback

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English

Cambridge University Press
21 January 2010

Company, commercial & competition law; Capital markets & securities law & regulation

Series: International Corporate Law and Financial Market Regulation

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.

By: Niamh Moloney (London School of Economics and Political Science)
Imprint: Cambridge University Press
Country of Publication: United Kingdom
Dimensions: Height: 234mm, Width: 159mm, Spine: 26mm
Weight: 910g
ISBN: 9780521888707
ISBN 10: 0521888700
Series: International Corporate Law and Financial Market Regulation
Pages: 500
Publication Date: 21 January 2010
Audience: Professional and scholarly , Undergraduate
Format: Hardback
Publisher's Status: Active

Table of cases; Table of treaties and legislation; 1. The retail investor and the EC; 2. Designing a retail investor protection regime; 3. Product regulation; 4. Investment advice and product distribution; 5. Disclosure; 6. The trading process; 7. Education and governance; 8. Supervision, enforcement and redress.

Niamh Moloney is a professor in the Law Department of the London School of Economics and Political Science.