Intermediated Securities: Legal Problems and Practical Issues

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Professor Louise Gullifer (University of Cambridge, UK) Jennifer Payne (University of Oxford, UK)

Intermediated Securities

Legal Problems and Practical Issues

Professor Louise Gullifer (University of Cambridge, UK), Jennifer Payne (University of Oxford, UK), Professor Sir Roy Goode, QC , Louise Gullifer

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English

Hart Publishing
17 June 2010

Comparative law; Capital markets & securities law & regulation

Globally, there has been a shift from securities being held directly by an investor, to a situation in which many securities are held via an intermediary.

The existence of one or more intermediaries between the investor and the issuer has a potentially significant impact on the rights of the investor, the role and obligations of the issuer, and on the position and responsibilities of the intermediary.

However, different jurisdictions have dealt with the issues arising from intermediation in a variety of ways.

In the UK, for example, the concept of a trust is used to explain the different rights and obligations which arise in this scenario, whereas in the US the issues have been addressed by legislation, in the form of UCC Article 8.

This variety is problematic, given that it is possible for an investor to hold securities in a number of different jurisdictions.

A new UNIDROIT Convention on the issue of Intermediated Securities, the Geneva Securities Convention 2009, aims to create a common framework for dealing with these issues.

This collection of essays explores the issues that arise when securities are held via an intermediary, and in particular assesses the solutions put forward by the new Convention on this issue.

It will be essential reading for practitioners and academics.

Contributions by: Professor Sir Roy Goode QC, Louise Gullifer, Erica Johansson
Edited by: Professor Louise Gullifer (University of Cambridge UK), Jennifer Payne (University of Oxford, UK)
Imprint: Hart Publishing
Country of Publication: United Kingdom
Dimensions: Height: 234mm, Width: 156mm, Spine: 23mm
Weight: 654g
ISBN: 9781849460132
ISBN 10: 1849460132
Pages: 294
Publication Date: 17 June 2010
Audience: Professional and scholarly , Undergraduate
Format: Hardback
Publisher's Status: Active

Louise Gullifer is Professor of Commercial Law at the University of Oxford and a Fellow and Tutor of Harris Manchester College, Oxford. Jennifer Payne is Professor of Corporate Finance Law at the University of Oxford, and a Fellow and Tutor of Merton College, Oxford.

Reviews for Intermediated Securities: Legal Problems and Practical Issues

The book highlights the critical importance of the intermediated securities law, the area of the law that supports the backbone of securities markets. Given the importance of the systems for the holding of securities and the absence of comparably high-quality resources o the subject, the book is essential reading for any person interested in the area of intermediated securities. Marek Dubovec International Company and Commercial Law Review Volume 22, Issue 7