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Investor Protection: Towards Additional EU Regulation of Investment Funds?

Investor Protection: Towards Additional EU Regulation of Investment Funds?
 

The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds ava... read full description below.

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Quick Reference

ISBN 9789041186119
Published by Kluwer Law International
Available in EPUB format
Software Read in Browser or Adobe Ebook Compatible Device
Language en
Author(s) By Wegman, Hanneke
Availability Wheelers ePlatform

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Full details for this title

ISBN-13 9789041186119
ISBN-10
Stock Available
Status Wheelers ePlatform
Publisher Kluwer Law International
Imprint Kluwer Law International
Publication Date not entered
Publication Country THE NETHERLANDS
Format EPUB ebook
Author(s) By Wegman, Hanneke
Category Law
Business Law
Commercial Law
Number of Pages 362
Dimensions Not specified
Weight Not specified - defaults to 0g
Interest Age General Audience
Reading Age General Audience
Dewey Code Not specified
Catalogue Code Not specified

Description of this Electronic Book

The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds available in the EU can be established both inside and outside the EU, they may be subject to different investor protection regulations, depending on where the fund is located. Accordingly, different levels of investor protection may exist between investors investing in EU funds and investors investing in non-EU funds, including US funds.

This book investigates whether there is a level playing field between EU investors investing in EU funds and EU investors investing in US funds and if not, if there is a legal basis in current EU law for the EU regulator to adopt additional investor protection rules applying to investment funds. The analysis considers the basic characteristics of investment funds, how they function in practice, and how they are regulated relating to investor protection issues. Factors examined in depth include the following:

- features of funds most relevant to the protection of retail investors;
- operational structure, investment strategies, fee structure, and legal structure of funds;
- internal control systems;
- transparency and disclosure rules;
- conduct of business rules; and
- depositary monitoring rules.


The author examines relevant EU directives and rules and the particular remit of each, as well as US law applying to investment funds that are active in the EU. Case law and relevant literature in the field is also drawn on.

As an assessment of the current degree of protection applying to funds that are available to EU retail investors - as well as an up-to-date overview of regulatory requirements and procedures concerning the protection of EU investors in investment funds - this book is unsurpassed. Especially valuable is the closing discussion about whether the EU regulatory system provides for a level playing field of protection for EU retail investors, and if not which additional rules can be adopted by the EU regulator in this area. Lawyers and other professionals in all areas of law and policy concerned with investment and finance will find this book of great value.

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