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Company Directors: Duties, Liabilities and Remedies

Edited by: Mark Arnold KC, Simon Mortimore KC
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MiFID II and Private Law: Enforcing EU Conduct of Business Rules


ISBN13: 9781509925292
Published: July 2019
Publisher: Hart Publishing
Country of Publication: UK
Format: Hardback
Price: £95.00
Paperback edition , ISBN13 9781509946266



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In the wake of the global financial crisis, retail clients have filed numerous claims against banks and investment firms for breaches of conduct of business rules in the distribution of financial instruments.

Significantly, MiFID II raises key issues on the interplay between conduct of business rules and national private law. Building on the case law of national courts, decisions of alternative dispute resolution mechanisms in Italy, Spain, France and the UK, and the most recent literature, this monograph shows how the new MiFID II conduct of business rules can influence the interpretation of national private law, giving rise to hybrid private law duties and remedies.

More specifically, the book illustrates the different forms and implications of this emerging, hybrid form of private law and argues that it will effectively supplement the actions of EU and national supervisory authorities aimed at ensuring the deterrent effect of conduct of business rules; furthermore, it will strengthen the protection of unsophisticated retail clients and investors’ confidence in financial markets.

The book brings an essential contribution to academic research and will also be of interest to policy-makers and legal practitioners working on financial litigation.

Subjects:
Banking and Finance
Contents:
Introduction
1. The Rise of EU Investor Protection Regulation and the Role of Private Law
I. Harmonisation in EU Securities Markets: From Liberalisation to Regulation
II. The Development of EU Investor Protection Regulation
III. Protecting Investors without Private Law: The Reasons for (The Lack of) Private Law Harmonisation
IV. Bridging EU Conduct of Business Rules and National Private Law via EU General Principles
V. The Interplay between EU Sectoral Regulation and National General Private Law: Towards Hybridisation of National Private Law?
VI. Preliminary Conclusion
2. Regulatory Design of MiFID II's Conduct of Business Rules
I. Rationales of Conduct of Business Rules
II. The Scope of Conduct of Business Rules
III. The Clients' Categorisation Rules
IV. Regulating Investment Firms' Conduct
V. Private Law Duties and Remedies (in the Shadow of) MiFID II
VI. National Conduct of Business Rules
VII. Preliminary Conclusion
3. Civil Law Effects of ESMA's 'Conduct of Business Handbook'
I. Conduct Supervision and Private Law: The Issues at Stake
II. ESMA's Institutional Design
III. ESMA's 'Conduct of Business Handbook'
IV. National Supervisory Models
V. A Comparative Assessment
VI. Shaping Private Law Through Supervisory Standards
VII. Preliminary Conclusion
4. Civil Law Effects of Conduct of Business Rules in Out-of-Court Proceedings
I. Out-of-Court Retail Dispute Resolution in EU Law
II. The EU Regulatory Framework
III. National Out-of-Court Dispute Resolution Mechanisms
IV. Adjudicative Approach
V. A Comparative Assessment
VI. Preliminary Conclusion
5. Civil Law Effects of Conduct of Business Rules before National Courts
I. Mis-selling Litigation: An EU Law Issue
II. National Judicial Approaches
III. A Comparative Assessment
IV. Preliminary Conclusion
6. The Emergence of Hybrid Private Law in Retail Financial Markets: Foundations and Legitimacy
I. Anchoring Hybrid Private Law to EU Law
II. Hybrid Private Law Duties
III. Hybrid Private Law Remedies
IV. The Design of Effective Private Law Remedies
V. Horizontal Application of EU of Fundamental Rights
VI. Preliminary Conclusion
7. Hybrid Enforcement Mechanisms: Future Perspectives
I. Private Enforcement of Conduct Regulation in the EU: Unexpected Importance and Limitations
II. The Goals of Private Enforcement
III. The Risks of Private Enforcement
IV. The Incentives' Design in Retail Clients' Litigation
V. Connecting Public and Private Enforcement: Towards Hybrid Enforcement Mechanisms?
VI. Preliminary Conclusion

Series: Hart Studies in Commercial and Financial Law

International Bank Crisis Management: A Transatlantic Perspective ISBN 9781509961344
Published February 2024
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The Enforcement of EU Financial Law ISBN 9781509959785
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The Cape Town Convention: A Documentary History ISBN 9781509947232
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International Bank Crisis Management: A Transatlantic Perspective ISBN 9781509961306
Published August 2022
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£90.00
The Enforcement of EU Financial Law ISBN 9781509959747
Published June 2022
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£95.00
The Enforcement of EU Financial Law (eBook) ISBN 9781509959754
Published June 2022
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£40.49
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£95.00
£40.49
(ePub)
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£38.99
The Cape Town Convention: A Documentary History (eBook) ISBN 9781509939787
Published May 2021
Hart Publishing
£39.59
(ePub)
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The Cape Town Convention: A Documentary History ISBN 9781509939770
Published May 2021
Hart Publishing
£95.00
MiFID II and Private Law: Enforcing EU Conduct of Business Rules ISBN 9781509946266
Published January 2021
Hart Publishing
£39.99
The Future of Commercial Law: Ways Forward for Harmonisation ISBN 9781509914692
Published April 2020
Hart Publishing
£140.00
The Future of Commercial Law: Ways Forward for Harmonisation (eBook) ISBN 9781509914715
Published April 2020
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£126.00
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£35.09
(ePub)
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£35.99
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