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Promoting information in the marketplace for financial services[electronic resource] :financial market regulation and international standards /

紀錄類型:	書目-語言資料,印刷品 : Monograph/item
杜威分類號:	343.03
書名/作者:	Promoting information in the marketplace for financial services : financial market regulation and international standards // by Paul Latimer, Philipp Maume.
作者:	Latimer, Paul.
其他作者:	Maume, Philipp.
出版者:	Cham : : Springer International Publishing :, 2015.
面頁冊數:	xv, 238 p. : : ill., digital ;; 24 cm.
Contained By:	Springer eBooks
標題:	International finance - Law and legislation.
標題:	Finance - Law and legislation.
標題:	Law.
標題:	International Economic Law, Trade Law.
標題:	Private International Law, International & Foreign Law, Comparative Law.
標題:	Finance/Investment/Banking.
標題:	Commercial Law.
ISBN:	9783319094595 (electronic bk.)
ISBN:	9783319094588 (paper)
內容註:	Chapter 1: Introduction -- Promoting Information -- Chapter 2: Disclosure of Financial and Non-Financial Information in the Marketplace -- Chapter 3: How Should Financial Markets Be Regulated to Ensure That Information is Provided? -- Chapter 4: Promoting Information Under Broker/Client Rules at Common Law and in Equity -- Chapter 5: The Failure of Industry Licensing to Keep the Market Informed Obligation to Provide Financial Services Efficiently, Honestly and Fairly -- Chapter 6: The Ability of the Commission to Achieve Disclosure in Financial Markets -- Chapter 7: Stock Exchanges and the Promotion of Information -- Chapter 8: Towards Principles-Based Regulation.
摘要、提要註:	This book provides a unique comparative and global analysis of the regulation of disclosure in financial (securities) markets. It is written by two authors who represent both the new world (Australia) and the old world (Germany). The authors present their research in the global business context, with legal and regulatory perspectives including some references from Africa, Asia, the Middle East and South America. After every boom and bust, legislators pass new disclosure legislation, often in a heated environment fuelled by politics and the media. Little regard is paid to existing regulation or the lessons learned from earlier regulation. The result is the continuing enactment of redundant and overlapping disclosure laws. Since financial markets are often described as markets for information, the failure to ensure disclosure is at the heart of financial services regulation. This book argues that the solution to the failure of disclosure is a brief, easily understood, principles-based, plain English safety-net amendment to statute law such as you must keep the financial market fully informed, a measure that would support effective mandatory continuous disclosure of information to financial markets. This book examines the reasons for disclosure regulation, and how the efficient operation of financial markets is dependent on disclosure. It examines the adequacy of common law and civil law concerning broker/client disclosure, and concludes that industry licensing in itself fails to keep the market informed. While recognizing the failures of securities commissions to achieve good disclosure in financial markets, it confirms the effectiveness of coregulation of disclosure by a commission with the support of the financial markets (such as the stock exchange). Coregulation builds on financial market self-regulation, and is best described in the words of one-time SEC Chairman William O. Douglas, who, in the 1930s, described it as a shotgun behind the door.
電子資源:	http://dx.doi.org/10.1007/978-3-319-09459-5

Promoting information in the marketplace for financial services[electronic resource] :financial market regulation and international standards /
Latimer, Paul.

Promoting information in the marketplace for financial servicesfinancial market regulation and international standards /[electronic resource] :by Paul Latimer, Philipp Maume. - Cham :Springer International Publishing :2015. - xv, 238 p. :ill., digital ;24 cm.

Chapter 1: Introduction -- Promoting Information -- Chapter 2: Disclosure of Financial and Non-Financial Information in the Marketplace -- Chapter 3: How Should Financial Markets Be Regulated to Ensure That Information is Provided? -- Chapter 4: Promoting Information Under Broker/Client Rules at Common Law and in Equity -- Chapter 5: The Failure of Industry Licensing to Keep the Market Informed Obligation to Provide Financial Services Efficiently, Honestly and Fairly -- Chapter 6: The Ability of the Commission to Achieve Disclosure in Financial Markets -- Chapter 7: Stock Exchanges and the Promotion of Information -- Chapter 8: Towards Principles-Based Regulation.

This book provides a unique comparative and global analysis of the regulation of disclosure in financial (securities) markets. It is written by two authors who represent both the new world (Australia) and the old world (Germany). The authors present their research in the global business context, with legal and regulatory perspectives including some references from Africa, Asia, the Middle East and South America. After every boom and bust, legislators pass new disclosure legislation, often in a heated environment fuelled by politics and the media. Little regard is paid to existing regulation or the lessons learned from earlier regulation. The result is the continuing enactment of redundant and overlapping disclosure laws. Since financial markets are often described as markets for information, the failure to ensure disclosure is at the heart of financial services regulation. This book argues that the solution to the failure of disclosure is a brief, easily understood, principles-based, plain English safety-net amendment to statute law such as you must keep the financial market fully informed, a measure that would support effective mandatory continuous disclosure of information to financial markets. This book examines the reasons for disclosure regulation, and how the efficient operation of financial markets is dependent on disclosure. It examines the adequacy of common law and civil law concerning broker/client disclosure, and concludes that industry licensing in itself fails to keep the market informed. While recognizing the failures of securities commissions to achieve good disclosure in financial markets, it confirms the effectiveness of coregulation of disclosure by a commission with the support of the financial markets (such as the stock exchange). Coregulation builds on financial market self-regulation, and is best described in the words of one-time SEC Chairman William O. Douglas, who, in the 1930s, described it as a shotgun behind the door.

ISBN: 9783319094595 (electronic bk.)

Standard No.: 10.1007/978-3-319-09459-5doiSubjects--Topical Terms:

495270
International finance
--Law and legislation.

LC Class. No.: K4430

Dewey Class. No.: 343.03

Promoting information in the marketplace for financial services[electronic resource] :financial market regulation and international standards /
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