東華大學圖書館 |

Language: English

Help

回圖書館首頁

手機版館藏查詢

Back

Switch To: Labeled | MARC Mode | ISBD

Promoting information in the marketp...

Latimer, Paul.

Linked to FindBook

Google Book

Amazon

博客來

Promoting information in the marketplace for financial services = financial market regulation and international standards /

Record Type:	Electronic resources : Monograph/item
Title/Author:	Promoting information in the marketplace for financial services/ by Paul Latimer, Philipp Maume.
Reminder of title:	financial market regulation and international standards /
Author:	Latimer, Paul.
other author:	Maume, Philipp.
Published:	Cham :Springer International Publishing : : 2015.,
Description:	xv, 238 p. :ill., digital ;24 cm.
[NT 15003449]:	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.
Contained By:	Springer eBooks
Subject:	International finance - Law and legislation. -
Online resource:	http://dx.doi.org/10.1007/978-3-319-09459-5
ISBN:	9783319094595 (electronic bk.)

Promoting information in the marketplace for financial services = 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:

654879
International finance
--Law and legislation.

LC Class. No.: K4430

Dewey Class. No.: 343.03

Promoting information in the marketplace for financial services = financial market regulation and international standards /
LDR:03674nmm a2200313 a 4500 001 1993656
003 DE-He213
005 20150715151645.0
006 m d
007 cr nn 008maaau
008 151019s2015 gw s 0 eng d
020 $a 9783319094595 (electronic bk.)
020 $a 9783319094588 (paper)
024 7 $a 10.1007/978-3-319-09459-5 $2 doi
035 $a 978-3-319-09459-5
040 $a GP $c GP
041 0 $a eng
050 4 $a K4430
072 7 $a LBBM $2 bicssc
072 7 $a LAW051000 $2 bisacsh
082 0 4 $a 343.03 $2 23
090 $a K4430 $b .L357 2015
100 1 $a Latimer, Paul. $3 2132009
245 1 0 $a Promoting information in the marketplace for financial services $h [electronic resource] : $b financial market regulation and international standards / $c by Paul Latimer, Philipp Maume.
260 $a Cham : $b Springer International Publishing : $b Imprint: Springer, $c 2015.
300 $a xv, 238 p. : $b ill., digital ; $c 24 cm.
505 0 $a 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.
520 $a 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.
650 0 $a International finance $x Law and legislation. $3 654879
650 0 $a Finance $x Law and legislation. $3 679850
650 1 4 $a Law. $3 600858
650 2 4 $a International Economic Law, Trade Law. $3 1566625
650 2 4 $a Private International Law, International & Foreign Law, Comparative Law. $3 1566062
650 2 4 $a Finance/Investment/Banking. $3 1530231
650 2 4 $a Commercial Law. $3 891051
700 1 $a Maume, Philipp. $3 2132010
710 2 $a SpringerLink (Online service) $3 836513
773 0 $t Springer eBooks
856 4 0 $u http://dx.doi.org/10.1007/978-3-319-09459-5
950 $a Humanities, Social Sciences and Law (Springer-11648)