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MiFID and MiFID II: The Development of EU Investor Protection Regulation
This chapter focuses on the development and content of the EU investor protection regulation enshrined in the MiFID and MiFID II conduct of business...
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MiFID and MiFID II Conduct of Business Rules and Their Relationship with Private Law: The EU Dimension
This chapter analyses the tension between the MiFID and MiFID II conduct of business rules and national private law from the perspective of EU law....
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Implementation of the MiFID and MiFID II Conduct of Business Rules in the Member States
This chapter investigates the implementation of EU investor protection regulation in the national legal systems of Germany, the Netherlands and the...
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The Remedies of Retail Clients of Investment Firms in the Light of the Decisions of the Italian Financial Ombudsman
The contribution deals with remedies of retail clients for infringements of conduct of business rules by investment firms in the light of the...
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Recalibrating the Debate on MiFID’s Private Enforceability: Why the EU Charter of Fundamental Rights is the Elephant in the Room
The genesis of MiFID I initiated a fierce scholarly debate on the following question: does MiFID dictate private enforceability of the rules embedded...
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The Third Country Regime for Investment Firms
In this article we discuss how an investment firm established outside the EU may provide services (to clients) in the EU. We explore how such third...
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Third-Country Regime and Equivalence: FinTechs
While equivalence decisions are a well-known feature of EU/EEA financial regulation, EU/EEA regulatory law has not yet introduced FinTech-specific...
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The Future of Equivalence in the EU Financial Sector
The future of equivalence in the EU financial sector does not look all that bright. Granting third-country entities access to the EU financial...
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The MiFIR Review and a European Consolidated Tape: the next step towards a Capital Markets Union
One of the main elements of the MiFIR Review is the revision of the framework for a Consolidated Tape in Europe. The objective is to establish a tape...
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Legal and Policy Pathways of Carbon Finance: Comparative Analysis of the Carbon Market in the EU and China
There has been a financial trend in China’s carbon market. However, the legal and policy pathways in China have not specifically focused on carbon...
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EU Financial Regulation and Private Law: Towards a Holistic Approach
This essay explores the relationship between EU financial regulation and private law. It is an attempt to systematically rethink the role of private...
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Third-Country Regime and Equivalence: The Swiss Perspective
This paper discusses the role of the third-country regime and equivalence from the Swiss perspective. It provides an analysis of the evolution of the...
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Insurance-Based Investment Products: Regulatory Responses and Policy Issues
The chapter aims to analyse the recent reform of the EU regulatory framework as regards insurance-based investment products (IBIPs). The current...
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How Should Crypto Lending Be Regulated Under EU Law?
The collapse of Genesis is the latest in a cascade of failures of crypto lenders. The last year has seen numerous major crypto lenders, such as...
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Vertical Standards Addressed to Public Authorities
This Chapter analyzes three case studies of ‘traditional’ IOSCO standards, i.e., standards directly addressed to IOSCO Members that are public...
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The price of stable markets and investor confidence: some thoughts on MiFID II’s cost-benefit ratio
This Article analyses certain aspects and controversial matters of the revised Markets in Financial Instruments Directive (MiFID II) in view of the...
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§ 9 Insiderhandel und Marktmanipulation
Achenbach, Neue Sanktionen im Finanzmarktrecht – alte und neue Zweifelsfragen, wistra 2018, 13; Böse, Marktmanipulation durch Unterlassen – ein...
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Contract Law in Germany
Contract law in Germany is regulated by the German Civil Code, which is over 120 years old. Nevertheless, contract law in particular has been the...
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ESMA as a Residual Lawmaker: The Political Economy and Constitutionality of ESMA’s Product Intervention Measures on Complex Financial Products
This article proposes that product intervention constitutes a form of residual lawmaking by ESMA that allows it to tackle aspects of investor...
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Contractual Liability
This chapter deals with contractual liability. The chapter analyses the indirect effect which the MiFID and MiFID II conduct of business rules can...