LUISS

Programma

Syllabus-Lucantoni

The present course provides an overview of the European Financial
Market Regulation which governs securities markets in the EU and the
actors on these markets (issuers seeking capital/funding, investment
firms which provide intermediation services, trading venues, rating
agencies, investment analisti and investment funds).

 
Niamh Moloney, EU Securities and Financial Market Regulation (3rd edn,
Oxford University Press 2014; or paperback edition, Oxford 2016).)

 
1. Introduction: EU Securities and Markets
Regulation after the Financial Crisis (Moloney, 1-48) 2. Law Making,
Supervision and Enforcement (Moloney 854-1025) 3. Capital-raising
Process, Regulation, and the EU. Prospectus Directive. 4. Transparency
Directive. Financial Reporting and International Financial Reporting
Standards. Admission to Trading and to Official Listing. (Moloney 48-192)
5. Asset management. Collective Asset Management: the UCITS Regime
and the AIFMD Regime (Moloney 194-315) 6. Investment Firms and
Investment Services. The Authorization Process. Prudential and Conduct
Requirements. (Moloney 320-377) 7. Trading Venues. Regulated Markets.
Multilateral Trading Facilities. Systematic Internalizers. Organized Trading
Facilities. OTC Segment. (Moloney 425-505) 8. Trading. The Regulation of
Trading under MiFID II and MiFIR. Short Selling. EMIR. (Moloney 511-634)
9. Gatekeepers. Credit Rating Agencies Regulation (Moloney 634-699) 10.
Market Abuse Regulation. (Moloney 699-762) 11. Retail Markets (Moloney
770-853) 12. Final considerations

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