Relevant bibliographies by topics / Financial institutions – Law and legislation – European Union countries

Academic literature on the topic 'Financial institutions – Law and legislation – European Union countries'

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Published: 10 March 2023

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Journal articles on the topic "Financial institutions – Law and legislation – European Union countries"

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PETRUKHIN, M. V., and A. N. PETRUKHINA. "INSTITUTE OF THE FINANCIAL OMBUDSMAN IN RUSSIA AND THE EUROPEAN UNION COUNTRIES: THE ARGUMENTS “FOR” AND “AGAINST”." Herald of Civil Procedure 11, no. 1 (April 20, 2021): 208–24. http://dx.doi.org/10.24031/2226-0781-2021-11-1-208-224.

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The article is devoted to a new method of out-of-court dispute resolution for domestic law – the institution of financial ombudsman. The article explores the history of the institution; based on the analysis of the Federal Law of 4 June 2018 No. 123-ФЗ “On the Commissioner for the Rights of Consumers of Financial Services”, the author identified problems of the functioning of this institution in the Russian Federation (the absence in Russian legislation of the purpose of the financial ombudsman, the introduction of mandatory pre-trial settlement of the dispute by the financial ombudsman, the absence of the financial ombudsman’s right to reduce the amount of the penalty, the absence of the right to recover a fine in case of violation of the rights of a consumer of financial services, etc.), and also suggested ways to solve them. As possible vectors for the development of the institution under study, the researchers propose to expand the concept of a conflict of interest, establishing the same grounds for challenging a financial commissioner, which are established by civil procedural legislation for challenging a judge. And also, provide the financial ombudsman with the right to reduce the penalty charged to the financial organization, and provide the financial ombudsman with the right to collect a fine from the financial organization.
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Chernadchuk, T. O., and V. O. Berezovska. "THE POLICY OF THE EUROPEAN UNION ON THE FIGHT AGAINST TERRORISM: THE ANALYSIS OF THE EUROPEAN UNION LEGISLATION AND SOME NATIONAL ANTITERRORISM PROGRAMMES." Constitutional State, no. 48 (December 19, 2022): 66–76. http://dx.doi.org/10.18524/2411-2054.2022.48.267964.

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Terrorist attacks strike not only the victims, their friends and families, but also the fun­damental principles of the European Union. The choice of the topic of the article is caused by the fact that today the European Union recognizes money laundering, terrorist financing and international terrorism as some of the main threats to its financial system and citizens’ security. The purpose of the article is to analyze the main directions of activities and decisions of the European Union in this area. The methodological basis of the work consists of both general scientific and special meth­ods of scientific knowledge. The EU legislation in the sphere of counter-terrorism was investi­gated using the analytical method, the method of abstraction gave an opportunity to assess the general current state of legal regulation of the fight against terrorism. The use of the compara­tive legal approach made it possible to analyze the national antiterrorist programmes of chosen European countries. The logical legal method was applied when formulating conclusions and proposals. The article deals with the issues related to the legal aspects of the fight against internation­al terrorism. The paper investigates the steps taken by the European Union, i.e., the adoption of resolutions and strategies, the signing of treaties, the creation of institutions that function with the purpose to combat and prevent terrorist attacks, which are the constituents of the general concept of the antiterrorist system. The authors indicate the most important treaty provisions and institutions as well as their development and influence on the system of the fight against terrorism by the European Union. The purpose of the article is to analyze the main directions of activities and decisions of the European Union in this area. It has been investigated that the external activities of the EU include the support of countries in improving their judicial systems and the potential of law enforcement authorities as well as the integration of European antiter­rorist legislation into their security strategies. In the studied countries, the systematic approach to the fight against terrorism is clearly visible.
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Marchuk, M., and L. Gudz. "Local elections in the European Union and Ukraine: comparative characteristics." Uzhhorod National University Herald. Series: Law, no. 70 (June 18, 2022): 119–23. http://dx.doi.org/10.24144/2307-3322.2022.70.16.

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The article provides a comparative analysis of the electoral legislation of the EU countries and Ukraine at the local level and on the basis of this analysis, the proposals to improve the electoral legislation of Ukraine take into account the experience of the European Union. The main forms of direct democracy in most EU member countries and Ukraine are fixed at the constitutional level, and the procedure of preparing and holding elections is regulated by special election laws. Domestic electoral legislation is overloaded with detailed norms of procedural aspects, unlike the legislation of EU countries, in which much more attention is paid to the issues of transparency of party financial funds and transparency of election campaign financing, as well as protection of national minorities’ interests. The main ways of exercising the right to vote not at the place of inclusion in the voter lists in the EU member states were characterized: voting by absentee ballots at specially designated polling stations, voting on the territory of diplomatic and consular missions, voting by mail, proxy voting, mobile voting, voting via the Internet, distance voting. It is noted that the norms in which the institution of a cash deposit is enshrined are discriminatory since they violate the principle of equality of suffrage and create a situation in which candidates are excluded from the political arena on the basis of the property criterion. Relevant for EU countries is the adoption of measures to create appropriate conditions for the full implementation of the principle of equality of citizens before the law, in particular, to overcome the actual inequality of opportunities between women and men. In order to bring Ukrainian legislation in line with international standards set by the European Union, we propose: to grant the right to vote in local elections to citizens of other states or stateless persons who permanently reside on the territory of the respective territorial community and permanently pay local taxes and fees have common local interests related to everyday life, infrastructure, communication, recreation; to introduce electronic voting; not to apply the institution of cash deposit at the local level; to introduce individual (party) gender quotas, following the French example.
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Golovko, Liudmyla, Olena Yara, Olena Uliutina, Andrii Tereshchenko, and Andrew Kudin. "Formation of Ukraine's Climate Policy in the Context of European Integration." European Journal of Sustainable Development 10, no. 4 (October 1, 2021): 138. http://dx.doi.org/10.14207/ejsd.2021.v10n4p138.

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It is an indisputable fact that one of the most important problems today is global climate change. Climate change affects everyone and requires a concerted effort at regional, national and international levels. The most intensive legal regulation of environmental protection, including climate change, which has an extremely negative impact on the environment, is carried out on the European continent. The European Union is a leader in climate change prevention and an example for other countries. The state policy of Ukraine on legislative adaptation is formed as an integral part of legal reform in Ukraine and is aimed at ensuring common approaches to rule-making, mandatory consideration of European Union legislation in rule-making, training of qualified specialists, creating appropriate conditions for institutional, scientific, educational, technical, financial support of the process of adaptation of the legislation of Ukraine. In the scholarly work global and European trends in climate change prevention policy were revealed. The adaptation of Ukrainian legislation in the field of climate change to EU law was analyzed. The conceptual foundations of the environmental policy of Ukraine in the context of climate change were considered. The challenges and problems on the way to the implementation of climate policy were determined.
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Sokolova, Olga, Nadezhda Goncharova, and Pavel Letov. "Problems and Prospects for the Development of the UK Banking System in the Process of New Industrialization and Digitalization." SHS Web of Conferences 93 (2021): 05017. http://dx.doi.org/10.1051/shsconf/20219305017.

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The gist of this article boils down to the development of British banking system in the conditions of new industrialization and digitalization. The banking system of Great Britain is characterized by a high degree of concentration and specialization of banking, a well-developed banking infrastructure, and a close connection with the international loan capital market. London is the world's oldest financial center. The English banking system has the world's widest network of overseas branches. The UK banking system is relatively independent from the credit systems of the European Union. Nevertheless, banking legislation is focused on the unification of banking law within the European Community and supervision of banking activities. In the context of the global financial crisis, the UK banking system, as in other countries, has been severely tested. The most important trend in the development of the UK banking system is the blurring of boundaries between certain types of credit institutions. The subject of the research is the UK banking system in the context of new industrialization and digitalization.
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Bazina, Olga O. "Human rights and biometric data. Social credit system." Przegląd Europejski, no. 4-2020 (December 14, 2020): 36–50. http://dx.doi.org/10.31338/1641-2478pe.4.20.3.

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Biometrics, as a field of science, analyzes the physical and behavioral characteristics of people in order to identify their personality. A huge amount of technology in the field of biometric data collection is developed by IT giants like Google, Facebook, or Alibaba. The European Union (EU) took an important step towards biometric data confidentiality by developing a unified law on the protection of personal data (General Data Protection Regulation, GDPR). The main goal of this action is to return control over personal data to European citizens and at the same time simplify the regulatory legal basis for companies. While European countries and organisations are introducing the GDPR into force, China since 2016 has launched a social credit system as a pilot project. The Social Credit Score (SCS) is based on collecting the maximum amount of data about citizens and assessing the reliability of residents based on their financial, social and online behavior. Only critical opinions can be read about the social credit system in European literature, although the opinions of persons being under this system – Chinese citizens – are quite positive. In this context, we should not forget about the big difference in the mentality of Asians and Europeans. The aim of this article is to compare EU law and the legislation of the People's Republic of China regarding the use and storage of biometric data. On the basis of statistical data and materials analysed, key conclusions will be formulated, that will allow to indicate differences in the positions of state institutions and the attitude of citizens to the issue of personal data protection in China and the European Union.
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BAUR, GEORGES S. "Square Pegs and Round Holes (Continued): Financial Market Surveillance Authorities and Internal Market Association." Cambridge Yearbook of European Legal Studies 22 (December 2020): 32–59. http://dx.doi.org/10.1017/cel.2020.10.

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AbstractAfter the financial crisis of 2008, the European Union (‘EU’) not only increased its substantial legislation regarding financial services, but also built up a strong and unified system of financial market supervision. In particular, central surveillance authorities were created. These were given far-reaching competences with regard to substituting dysfunctional national authorities or players in the financial services sector. The three European Economic Area (‘EEA’) and European Free Trade Association (‘EFTA’) States—Iceland, Liechtenstein, and Norway—participate in the EU's internal market through their membership of the EEA. In order to continue participating on an equal footing in the internal market for financial services and to honour their duty to maintain homogeneity, the EEA EFTA States also had to incorporate the new institutional setup regarding financial services supervision. This obligation, however, in particular relating to certain intrusive powers of the new surveillance authorities, collided with some constitutional reservations, above all of the two Nordic EEA EFTA States. This article will show how these conflicting aims could be merged into a system that on the one hand guarantees the unified overall approach needed for strengthened surveillance of the internal market for financial services, and on the other hand safeguards certain constitutional reservations of the EEA EFTA States. It also looks at how third countries that do not (fully) participate in the internal market, such as the United Kingdom and Switzerland, are likely to be treated in this context by the EU.
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Golovina, S., Aleksey Ruchkin, I. Mikolaychik, and L. Smirnova. "Local Communities Participation in Rural Development: the Experience of the European Union." Agrarian Bulletin of the 212, no. 09 (November 9, 2021): 80–92. http://dx.doi.org/10.32417/1997-4868-2021-212-09-80-92.

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Abstract. The use of the experience of implementing the Common Agricultural Policy (CAP) in the member states of the European Union (EU) is relevant both for Russia and for other countries of the world interested in the successful development of the agrarian sector of the economy and rural areas. The role of rural areas in achieving national security of countries and regions (food, biological, environmental and other) is increasing significantly due to the current challenges and threats (climate change, COVID-19 pandemic, aggravation of the international situation). The purpose of the study, the results of which are presented in this article, is to scrutinise the special approach implemented under the CAP. This approach is referred to in European law as LEADER/CLLD and refers to a close combination of comprehensive cross-sector interaction with active involvement of local communities in rural development. In the work, analytical and review research methods were used, with the help of which (1) the current (relevant to the research topic) legislation, (2) programs implemented in the EU member states, (3) significant scientific publications were subject to scrupulous study. The result of the work is a review and analysis of the findings and practical recommendations for the future use of the various aspects of LEADER/CLLD in domestic political and economic practice. The application of this approach takes into account the fact that the experience of local residents, combined with the opinions of other stakeholders, can help to better adapt rural development policy to real needs and opportunities, and to form a specific (unique) human capital within the boundaries of rural communities. Human capital includes, in addition to specific skills, (1) the ability to take constructive initiatives, (2) a sense of local identity and ownership, (3) the ability to participate as equals with other partners in defining local development strategies, (4) trust between people, private enterprises, public institutions and sectoral communities interested in successful rural development, formed through constant interaction. Theoretical and practical conclusions regarding the content of LEADER/CLLD initiatives, as well as findings related to the possibilities of introducing tools and mechanisms to support rural areas, implemented directly with the involvement of local communities with financial support from the state, are of scientific novelty.
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Vennikova, V. V. "Disputes in the sphere of social security: ways of prevention, essence and methods of resolution in the countries of the European Union." Analytical and Comparative Jurisprudence, no. 3 (September 28, 2022): 98–102. http://dx.doi.org/10.24144/2788-6018.2022.03.17.

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The article examines the European experience of considering disputes in the field of social security, the ways of their prevention, the essence and methods of resolution, the possibility of borrowing positive assets of foreign states in the law enforcement practice of Ukraine is considered. Having analyzed the European experience of resolving disputes in the field of social security, three ways of their possible settlement are distinguished: 1) with the help of special courts on social security issues (sectoral justice); 2) through a civil process in general courts; 3) by means of conciliation and arbitration procedures. It was determined that a social model has developed in European countries, which is based on such values ​​common to all EU member states, such as: a close connection between the level of economic development and social progress; high level of social security, which is universal in nature; developed legislation; equal opportunities and fight against discrimination; production democracy; dialogue of social partners within the framework of contractual relations; availability of developed social infrastructure; the key role of the state in solving social problems; the struggle for employment and eradication of the phenomenon of social rejection and poverty; decent salary; social justice and solidarity in society. These basic values ​​also formed the basis of consideration and resolution of disputes in the field of social security. The listed values ​​should form the foundation of the Ukrainian theory and practice of social disputes. It was determined that the national specifics and practice of each European state provide for the use of various methods of resolving social disputes with recourse to social courts, reconciliation services, mediation, arbitration and mediation. The activity of social courts is based on the principles of tripartite cooperation (tripartism). Court cases are considered by a panel consisting of a professional judge and two non-professional judges. In addition, state mediation and mediation are effective measures for the pre-trial resolution of social disputes in the EU countries. They contribute to the relief of the judicial system, saving time and financial resources of the parties to the dispute. These institutions are little known for Ukraine and, at the same time, promising.
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Kholyavitska, K. S. "Foreign experience of decentralization of power and prospects for Ukraine." Collected Works of Uman National University of Horticulture 2, no. 99 (December 22, 2021): 94–103. http://dx.doi.org/10.31395/2415-8240-2021-99-2-94-103.

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The author of the article has outlined the problem of finding the most optimal model of the state for of government, because the necessary condition for stable development of society and effective functioning of the state is to ensure the balance between national interests and the interests of the population of regions and territorial communities. The preconditions, political history and periods of the formation of decentralized power in most European medieval states, scientific positions of national and foreign legal scholars on the expediency of implementing decentralization have been analyzed. It has been found out that the vast majority of Western European countries abdicate the unitary state model by introducing decentralization. The leading idea of reforming is to move the center of solving local issues to the local and, in particular regional level that is achieved by optimizing relations between different levels of territorial organization of power. National traditions, formation and functioning of public agencie in the past, specific features of administrative and territorial structure of the state, existence of autonomous territories, multiethnic population have a significant influence on the formation of the constitutional system on the basis of decentralization in the EU countries. The positive experience Poland, France, Italy, Latvia, Germany and Denmark has been studied. The author has theoretically substantiated that the principle of decentralization has been successfully implemented in the practice of the European Union countries. It has been indicated that the prerequisite for the successful implementation of decentralization processes to create an effective model of governance within the system of decentralized government of Ukraine is: the establishment of the rule of law principle; recognition and guarantees of local self-government; equal legal protection of all forms of ownership; democratic and effective electoral legislation; independence, efficiency, accessibility and transparency of the judicial system, functioning of administrative justice institutions; perfect budget process and high financial discipline; availability of adequate social standards; developed public sector and stable tendency towards its development.
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Dissertations / Theses on the topic "Financial institutions – Law and legislation – European Union countries"

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YIATROU, Mikaella. "Behaviourally informed retail financial regulation : turning bias into bliss?" Doctoral thesis, European University Institute, 2020. https://hdl.handle.net/1814/68156.

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Defence date: 11 September 2020 (Online)
Examining Board: Professor Stefan Grundmann (EUI, Supervisor); Professor Mathias Siems (EUI); Professor Nicoletta Rangone (LUMSA University); Professor Danny Busch (Radbound University)
The thesis examines whether the existing European retail investor protection legislation can be interpreted to be taking into account behavioural heuristics, biases, and norms that the average individual exhibits in their decision-making. In doing so, the thesis observes a clear general shift towards behaviourism in the interventions underpinning the retail investor legislation. The thesis aids this behavioural turn in investor protection legislation by compiling insights from studies on effective behavioural change interventions that can render behavioural investor protection more effective in influencing behaviour. The underlying argument is that the more effective the interventions the legislation incorporates for influencing behaviour, the more likely it is that such behaviourally-informed legislation can be effective in attracting more median retail consumer participation in the financial markets, helping in turn to mobilise retail investors’ cash savings into financial assets in Europe in light of the Capital Markets Union. The thesis concludes that this observed shift towards behaviourally-informed retail investor protection regulation is conducive to a functional, market-building, perspective in investor protection regulation. This is because market-building and market efficiency are not just pursued from the trust-conferring function of investor protection regulation, but also from a directly behavioural perspective, through nudging, biasing, and de-biasing. Thus, the thesis argues that in the behavioural turn of investor protection regulation the three main theoretical foundations for regulating for investor protection cited in the literature, namely: appeal to fairness; the pursuit of efficiency; and the acknowledgement of cognitive errors and limitations, are not only interlinked as the literature holds, but they also follow a hierarchical ordering with appeal to fairness and acknowledgement of cognitive limitations being functions of the pursuit of efficiency rather than self-standing foundations for regulating for investor protection. Such prioritization of market efficiency can potentially carry dangerous implications in the absence of a thoughtful moral examination.
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GIGLI, Michele. "EUROSUR funding policy : how financial accountability challenges the European strategy for external border management." Doctoral thesis, European University Institute, 2020. https://hdl.handle.net/1814/69196.

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Award date: 18 November 2020
Supervisor : Professor Deirdre Curtin (European University Insitute)
This thesis explores the way the development of the European Border Surveillance System (EUROSUR) has been funded and assess whether the funding strategy adopted complies with established principles of financial accountability. Starting from a notion of financial accountability as a duty to report expenditure in a measurable, transparent and coherent way, relevant budget lines contributing to the development of the system will be singled out in order to assess whether they have been implemented in accordance with those criteria. While the funding strategy initially relied on a multi-level system of financial governance involving the EU, the Member States and the executive agency Frontex, EUROSUR funds were then channelled into three main funding streams belonging to different policy areas of the EU: research and development, border management and humanitarian aid to developing countries. An integrated analysis of these financial instruments shows that the overall EUROSUR funding policy infringes principles to be respected to give account of expenditure, because of original accountability gaps affecting the launch of the EUROSUR project. Nevertheless, this deficit has been reduced over time. Chances are that in the next multiannual financial framework, running for the period 2021-2027 compliance will be improved in the field of external border management, with a more efficient use of available resources.
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Koether, Philipp. "On the basis of F.A.v. Hayek's idea of a free market monetary system and his publication: "Denationalisation ofmoney : an analysis of the theory and practice of concurrentcurrencies" (1976) about currency competition on financial markets inthe times of electronic commerce and the introduction of "e-money"." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 2001. http://hub.hku.hk/bib/B31972810.

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Vespro, Cristina. "Essays on understanding financial architecture." Doctoral thesis, Universite Libre de Bruxelles, 2008. http://hdl.handle.net/2013/ULB-DIPOT:oai:dipot.ulb.ac.be:2013/210588.

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This dissertation is composed of three essays related to Financial Architecture.

The first essay, analysed in the first chapter of the thesis, contributes to the literature on Efficient Market Hypothesis and in particular in understanding several issues associated with how prices are determined for individual stocks. The chapter, in particular, provides further evidence of price and volume effects associated with index compositional changes by analysing the inclusions (exclusions) from the French CAC40 and SBF120 indices, as well as the FTSE100. I find evidence supporting the price pressure hypothesis associated with index fund rebalancing, but weak or no evidence for the imperfect substitution, liquidity and information hypotheses. The results improve on recent evidence from the S&P500 index. The evidence for the FTSE100 additions shows, in particular, that markets learn about an imminent inclusion and incorporate this information into prices, even before the announcement date.

The other two essays of this thesis relate to Corporate Governance issues. Chapters 2 and 3, in particular, analyze some aspects of two corporate governance mechanisms: ownership concentration and managerial labour market.

Chapter 2 provides an overview of the evolution of control in listed Slovenian corporations and evaluates the impact of the current changes in ownership on firm performance. Ownership and control has been concentrating in most transition countries. This consolidation of control introduces changes in the power distribution within privatised firms and, most importantly, redirects the corporate governance problem to a conflict between large and small shareholders. The chapter evaluate the ownership changes in Slovenian privatised firms through an analysis of stock price reactions to the entrance of a new blockholder (the shared benefits of control) and through an estimation of the premiums paid for large blocks (the private benefits of control). It provides evidence and discuss the reasons for the failures of the privatization investment funds in implementing control over firm managers and in promoting the restructuring of firms in the first post-privatization years.

Chapter 3 concentrates on one specific aspect of the managerial labour market: monetary remuneration schemes. The purpose of this chapter is to examine the interconnection between pay and corporate governance approaches with respect to the different rules found across European legal systems. The research data on reported pay practices for 2001 among FTSE Eurotop300 companies reveal a reliance on performance-based pay generally and a somewhat variable adoption of share options programs and other equity-based incentive contracts, which generate difficulties in dispersed ownership systems. Furthermore, on the basis of the regulation on executive remuneration disclosure discussed in this chapter and on the basis of the disclosure practices resulting from the data collected for the FTSE Eurotop300 constituents, I construct some disclosure indicators and analyse empirically how country and firm characteristics affect remuneration disclosure.


Doctorat en sciences économiques, Orientation économie
info:eu-repo/semantics/nonPublished

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Van, den Haute Erik. "Harmonisation européenne du crédit hypothécaire: perspectives de droit comparé, de droit international privé et de droit européen." Doctoral thesis, Universite Libre de Bruxelles, 2008. http://hdl.handle.net/2013/ULB-DIPOT:oai:dipot.ulb.ac.be:2013/210458.

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La réalisation du marché intérieur européen par une meilleure intégration des marchés financiers est aujourd’hui devenue une réalité. L'objectif est toutefois loin d'être atteint en matière de crédit hypothécaire, nonobstant de nombreuses initiatives européennes. Compte tenu de ces difficultés et du postulat selon lequel il serait impossible d'harmoniser le droit des suretés immobilières en raison de leur ancrage culturel et national, une proposition alternative consistant dans la création d'une sûreté immobilière commune (euro-hypothèque), venant se superposer aux systèmes nationaux, a été formulée depuis un certain nombre d'années. La recherche analyse dans un premier temps la réalité du postulat précité à la lumière du droit comparé et conclut qu'en réalité, les différents systèmes trouvent non seulement leur origine dans un modèle identique, fondé sur le caractère accessoire de la sûreté, mais ont en outre connu une évolution similaire au cours de ces dernières années. Il apparaît que ce modèle constitue la meilleure base pour toute harmonisation européenne. Après avoir examiné l'interaction avec le droit international privé, sous l'angle de la protection du consommateur, et le droit européen, sous l'angle de la question de la compétence communautaire et du principe de subsidiarité, des pistes sont proposés pour opérer un rapprochement des législations nationales relatives au crédit hypothécaire. La proposition consiste à intégrer dans un seul instrument juridique contraignant (une directive européenne) les différentes propositions permettant d'opérer un rapprochement des législations nationales à trois niveaux :celui de la sûreté immobilière et de la publicité foncier, celui du contrat de prêt et enfin, celui relatif à la procédure de réalisation de l'immeuble.
Doctorat en droit
info:eu-repo/semantics/nonPublished
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CHATZIMANOLI, Despina. "Law and governance in the institutional organisation of EU financial services : the Lamfalussy procedure and the single supervisor revisited." Doctoral thesis, 2009. http://hdl.handle.net/1814/12010.

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Defence date: 9 March 2009
Examining Board: Prof. Gráinne De Búrca, EUI- Fordham Law School- Harvard Law School (Supervisor); Prof. Marise Cremona, EUI (Internal Advisor); Prof. Takis Tridimas, Financial Law Unit, Queen Mary, University of London; Prof. Niamh Moloney, London School of Economics and Political Science- Financial Markets Group, University of London
PDF of thesis uploaded from the Library digital archive of EUI PhD theses
Financial markets help allocate capital efficiently across the economy, thereby boosting economic growth- hence the salience of the creation of a single market in financial services within the EU single market project. Nevertheless, despite the EU's financial regulatory programme, it appears that a fully-fledged single European financial market is yet to be achieved. According to some, the substantive context of EU financial regulation is partially to account for this failure. More recently, though, both in policy and academic circles, the focus has been shifting towards the governance of EU financial law. Within this context, this thesis analyses the institutional arrangements for EU financial market regulation and supervision - crystallized in the so-called Lamfalussy framework- and explores the potential and problems of the prospect of institutional consolidation (in the form of one or more EU financial authorities) as an alternative to that framework. The debate, which seemed to have subsided in recent years, is now again coming to the fore, in light of the ongoing international financial crisis. This evidences the close relationship between substance and governance: the quality of rules ultimately depends both on the input that produced them, as well as -if not more- on the quality of the implementation, application and enforcement of the rules. This discussion on the future of EU financial governance is undertaken in two parts. The thesis examines firstly the interaction of 'classical' financial law aims (achieving efficient and stable financial markets) with 'integrationist' aims (the commitment to create a single European financial market, as a response to growing international competition). The thesis then situates the institutional question within the broader context of the EU public law framework in a more deliberate and systematic way than has hitherto been done in the existing scholarly literature. The result is an argument in favour of institutional consolidation in the EU financial sector, with an emphasis on supervision. The case of the US SEC, whose success is arguably based on its enforcement function, is used to illustrate that institutional consolidation is not synonymous with 'one size fits all' solutions, but that flexibility can be incorporated in an authority's regulatory tools. To be sure, further discussion is necessary in order to achieve this balance; but the thesis argues that we do better to focus on the details of the 'how' best to design such institutions, rather than on omphaloskeptical questions of 'whether' they are needed. Indeed, at a closer look, arguments against this approach rarely dispute the need itself for some institutional consolidation, but rather point to the difficulties in its design.
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DELLA, NEGRA Federico. "Private law and private enforcement in the post-crisis EU retail financial regulation." Doctoral thesis, 2017. http://hdl.handle.net/1814/47844.

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Defence date: 05 September 2017
Examining Board: Prof. Hans-W. Micklitz (EUI Supervisor); Prof. Giorgio Monti, European University Institute; Prof. Mads Andenas, University of Oslo; Prof. Takis Tridimas, King’s College London
The thesis examines the role of private law and private enforcement in the post crisis EU retail financial markets. Whilst private law and private enforcement have been traditionally regarded as 'foreign bodies' in EU financial regulation, the thesis argues that after the global financial crisis, private law and private enforcement, through courts and alternative dispute resolution (ADR) mechanisms, have become essential tools to compensate retail clients against mis-selling and mitigate systemic risk. To substantiate this argument, the thesis analyzes how the national and EU supervisory authorities, ADRs and courts, in Italy, Spain, France and UK, have interpreted and enforced the EU investor protection regulation (conduct, product and disclosure rules) before and after the global financial crisis. This institutional and comparative analysis shows that the EU regulatory duties, via regulation, 'administrative rule-making', out-of-court dispute resolution and litigation, increasingly influence the interpretation of national private law (Europeanization) and determine its consequent instrumentalization to achieve a high level of investor protection and ensure the stability of the financial market. The thesis argues that this form of instrumentalization has led to the creation of private law remedies and procedures which, albeit based on national law, have become tools to ensure the effective protection of the EU-derived rights (hybridization). After the crisis, the process of hybridization is driven not only by the investor protection objective but also by the financial stability objective which can determine a limitation of the private law law rights and remedies of the investor vis-à-vis the financial firm in order to mitigate the systemic risk, arising, in particular, from vexatious litigation. The thesis discusses the complex relationship between the investor protection and the financial stability objectives of EU financial regulation and examines the extent financial stability concerns can lead to a limitation of the investors rights and remedies in financial disputes.
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MCDERMOTT, Brian. "The "rough guide" to the European financial services industry : its evolution, traditions and future prospects, in the light of the European Community's 1992 programme." Doctoral thesis, 1990. http://hdl.handle.net/1814/5598.

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MARCACCI, Antonio. "Protecting investors in financial times : the design and functioning of the legal protection of retail investors." Doctoral thesis, 2013. http://hdl.handle.net/1814/28043.

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Defence date: 3 July 2013
Examining Board: Professor Hans-Wolfgang Micklitz, European University Institute (EUI Supervisor); Professor Giorgio Monti, European University Institute; Professor Mads Andenæs, Universiteteti Oslo; Professor Jan Wouters, Katholieke Universiteit Leuven.
PDF of thesis uploaded from the Library digital archive of EUI PhD theses
This thesis studies and analyzes the current paradigm governing the legal protection of retail investors in the United States and the European Union, by framing both of the legal systems within the transnational financial regulatory arena. In order to do so, the thesis carries out an evolutionary analysis of the European and American statutes dealing with financial markets regulation and gives an account, also grounded on the previous professional experience of the author, concerning the relationship between a retail investor and an investment services provider. It, then, examines whether and how far the US and EU legal systems either are affected by or affect transnational financial regulation, namely those (soft-law) rules adopted by the International Organization of Securities Commissions IOSCO, in particular as regards the protection of retail investors. Subsequently, the thesis describes the Organization’s governance structure, the decision-making process, the content of its financial rules and how far these are implemented into national domestic legislation. The third and last part of the thesis gives an analysis of the different legal tools provided by the European and American systems for public and collective private enforcement mechanisms, with the purpose to check whether a set of tools is preferred over the other (private VS public), and how far retail investors have the chance to concretely protect their rights. At the end, an assessment will be provided regarding the workability of the current paradigm from the point of view of retail investors.
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SOHRAB, Julia Adiba. "Sexing the benefit : women social security and financial independence in EC equality law." Doctoral thesis, 1994. http://hdl.handle.net/1814/4791.

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Books on the topic "Financial institutions – Law and legislation – European Union countries"

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European capital markets law. Oxford: Hart Publishing, 2013.

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Anjali, Kumar, Chuppe Terry M, and Perttunen Paula, eds. The regulation of non-bank financial institutions: The United States, the European Union, and other countries. Washington, D.C: World Bank, 1997.

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Europäisches Kapitalmarktrecht. 2nd ed. Tübingen: Mohr Siebeck, 2014.

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Ferran, Eilís. The regulatory aftermath of the global financial crisis / Eilís Ferran, Niamh Moloney, Jennifer G. Hill and John C. Coffee, Jr. Cambridge: Cambridge University Press, 2012.

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Regulating and supervising investment services in the European Union. Houndmills, Basingstoke, Hampshire: Palgrave Macmillan, 2003.

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L' indirizzo politico finanziario tra Costituzione italiana e vincoli europei. Padova: CEDAM, 2007.

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J, Gray S., and Coenenberg Adolf Gerhard 1938-, eds. International group accounting: International harmonisation and the seventh EEC directive. London: Croom Helm, 1988.

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Gergen, Philipp J. Rechtsfragen der Regulierung ausserbörslicher derivativer Finanzinstrumente: Zur neuen Marktinfrastruktur in der Europäischen Union, den Vereinigten Staaten von Amerika und Singapur. Frankfurt am Main: PL Academic Research, 2015.

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Mark, Furse, and Butterworths European Information Services, eds. Compendium of EC financial services law. London: Butterworths, 1990.

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Essential law for marketers. London: Kogan Page, 2012.

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Book chapters on the topic "Financial institutions – Law and legislation – European Union countries"

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Peter, Nobel, and Kaempf Markus. "Part VI European Securities Markets Supervision, 17 Regulation and Consolidation of European Markets and Exchanges." In Financial Markets and Exchanges Law. Oxford University Press, 2021. http://dx.doi.org/10.1093/law/9780198827528.003.0017.

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This chapter puts an emphasis on the regulation of marketed products, conduct of the issuers and operators, and the distribution of financial instruments. It mentions the basic provision on cross—border investment in the European Union (EU) that is found in Art 63 of the Treaty on the Functioning of the European Union (TFEU), which guarantees the free movement of capital. It also explains the difference of the freedom of movement of capital from all other economic freedoms provided by TFEU. This chapter describes how market participants from non—EU countries benefit from the freedom of movement of capital, which does not need any implementing legislation at member State level. It also discusses how the freedom of capital movement lays down a general prohibition that goes beyond the mere elimination of unequal treatment on grounds of nationality.
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Krivosheyev, Artem. "Tax Indicators as a Tool for Assessing the Financial Stability of a Budget Educational Institution." In European Financial Law in Times of Crisis of the European Union, 335–42. Ludovika Egyetemi Kiadó, 2019. http://dx.doi.org/10.36250/00749.32.

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The article studies the effect of the changes in legislation on the financial stability of higher education institutions. Changes in the procedure of property tax calculation in the current tax year significantly increase the tax burden of higher education institutions, which may result in much lower solvency ratio and hamper the universities’ activities aimed at the formation of social, cultural, scientific and innovative environments of the regions. This, in turn, will affect their financial stability. The aim of the present research is to analyse the level of financial stability of universities after the changes in the property tax laws. The economic analysis is performed by means of approved calculation methods and is based on the case study of a Voronezh Region university.
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Alexander, Kern, and Vivienne Madders. "Financial market regulation in the internal market." In The EU Law of Economic and Monetary Union. Oxford University Press, 2020. http://dx.doi.org/10.1093/oso/9780198793748.003.0044.

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The chapter considers some of the main post-crisis European Union (EU) financial legislation from the perspective of high-level principles (Level 1) that apply to credit institutions and certain investment firms under the Capital Requirements Directive IV (CRD IV), including prudential requirements to hold minimum capital and liquidity requirements and prudential governance standards. The chapter also analyzes the EU legislation that regulates investment funds and the sale of investment products and the distribution of financial products, particularly the Markets in Financial Instruments Directive and Regulation (MiFID II/MiFIR), the Undertakings for Collective Investments in Transferrable Securities (UCITS), the Personal Retail Investment Products Regulation, and the Alternative Investment Funds Managers Directive (AIFMD).
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Pahl, Bogumił, and Michał Mariański. "Evolution of the Taxation of Wind Power Plants in the Polish Tax Law." In European Financial Law in Times of Crisis of the European Union, 477–86. Ludovika Egyetemi Kiadó, 2019. http://dx.doi.org/10.36250/00749.45.

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The general purpose of the article is to present in a comparative perspective how the principles of the taxation of wind power plants have evolved. In the Polish tax law, over the past several years, the legislature has undertaken considerable efforts to modify those principles. The lack of the stability of tax legislation may prove to be one of the main reasons for discouraging economic operators from pursuing such investments. Most evidently, the lawmakers do not have a clear vision of a coherent and permanent legal framework in this aspect. The purpose of this article is to present how the principles of the taxation of wind power plants in Poland have evolved. Perhaps the wider experience of other European countries in this regard will help to develop a model of the taxation of wind power plants not only in Poland but also in other East and Central European Union Countries.
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Christos V, Gortsos. "Part I Origin and Context of Capital Requirements for European Credit Institutions, 1 Historical Evolution of Bank Capital Requirements in the European Union." In Capital and Liquidity Requirements for European Banks. Oxford University Press, 2022. http://dx.doi.org/10.1093/law/9780198867319.003.0001.

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This chapter provides an overview of the historical evolution of bank capital requirements and capital adequacy legislation in the European Union (EU) under the influence of international financial standards. It begins by reviewing bank capital adequacy requirements within the system of prudential banking regulation and dealing with the various sources of negative externalities in the banking system, the components of the so-called ‘bank safety net’. The chapter then looks at the international financial standards developed by the Basel Committee on Banking Supervision (BCBS) until the outbreak of the recent (2007–2009) Global Financial Crisis (GFC) and their impact on the shaping of the relevant EU banking legislation. It also traces the migration in 2010 from the so-called ‘Basel II’ capital adequacy framework to the ‘Basel III’ regulatory framework, before considering its incorporation into EU law in the context of the Banking Union. The emphasis is mainly placed on the basic provisions of the two legislative acts of the European Parliament and of the Council: the Capital Requirements Regulation (CRR) and the Capital Requirements Directive (CRD IV). Finally, the chapter studies the most recent (June 2020) amendments of the former legislative acts implemented amidst the current pandemic crisis.
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Grubb, Philip W., Peter R. Thomsen, Tom Hoxie, and Gordon Wright. "Patents and Competition Law—United Kingdom and European Union." In Patents for Chemicals, Pharmaceuticals, and Biotechnology. Oxford University Press, 2016. http://dx.doi.org/10.1093/oso/9780199684731.003.0029.

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This chapter focuses on competition law in the UK and EU. Most countries, as well as the EU, have developed a body of competition law to provide countermeasures against what are regarded as abuses of monopoly by patentees. Abuse of monopoly is the use of a patent simply to exclude others, while not working the invention oneself. Provisions of the Paris Convention enable compulsory licences to be granted if the patent is not worked within a certain time. In the UK, they may also be granted if the patentee is preventing the working of a dependent patent by refusing to grant a licence. In the EU, competition law for the internal common market is within the exclusive competence of EU institutions; the national governments of member states only assist these institutions when it comes to implementation of the legislation. The remainder of the chapter explains EU patent licence agreements.
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Bugarski, Tatjana. "Serbia: Criminal Law of the Republic of Serbia." In Criminal Legal Studies : European Challenges and Central European Responses in the Criminal Science of the 21st Century, 157–204. Central European Academic Publishing, 2022. http://dx.doi.org/10.54171/2022.evcs.cls_6.

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The criminal legislation of the Republic of Serbia has a legal tradition of nearly a century. Moving through its development, today, it is at the level of modern criminal justice systems, which is largely in line with generally accepted international legal standards that ensure effective legislation while protecting and ensuring basic human rights. Intensive reforms of criminal legislation in the Repub- lic of Serbia started at the beginning of the 21st century. Although legislative interventions in the field of criminal law have been highly intensive both quantitatively and qualitatively over the last two decades, it must be stated that the same trend is noticeable in other European countries, even those that traditionally have stable criminal legislation. The development of criminal legislation is, on the one hand, conditioned by the harmonization of criminal legislation with the law and standards of the European Union, while, on the other hand, the legislature is guided by other reasons because regardless of how much one strives for stable criminal legislation, one cannot deny the dynamic character of crime, the intensity of which is accompanied by social, political, economic, and other changes that have accelerated in the modern world. The paper presents an overview of the criminal legislation of the Republic of Serbia regarding the following issues: a brief history of its development, the primary legal sources, relevant institutions, and a comparison with relevant EU documents and key international trends.
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David, Skeel. "Part III Post-Trading Infrastructures, 13 Central Counterparties Insolvency and Resolution in the United States: Managing a Clearinghouse Failure." In Financial Market Infrastructures: Law and Regulation. Oxford University Press, 2021. http://dx.doi.org/10.1093/law/9780198865858.003.0013.

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This chapter addresses how, unlike in the European Union, the US legislation thus far has not established a bespoke regime for the management of central counterparty (CCP) failures. This leaves considerable uncertainty as to whether, and how, the reformed regulatory environment created by the post-financial crisis Dodd-Frank Act would respond to failures in the sector. While Title VIII of the Dodd-Frank Act has empowered the Financial Stability Oversight Council (FSOC) to designate clearinghouses as systemically important, it has been questioned whether the so-called 'Orderly Resolution Authority', a process for the resolution of failing systemically important financial institutions established by Title II of the Dodd-Frank Act, would apply—and, even if it did, would provide adequate solutions. The procedures and tools included in Title II hardly would fit, leaving room for the application of ordinary bankruptcy procedures. However, neither liquidation under Chapter 7 nor reorganization under Chapter 11 of the US Bankruptcy Code can be expected to be very helpful in the case of a clearinghouse failure, which essentially leads to a high level of reliance on the clearinghouses' risk mitigation and loss management arrangements contractually agreed with their respective members.
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Foster, Nigel. "3. The Sources, Forms, and Individual Remedies of EU Law." In Concentrate Questions and Answers EU Law. Oxford University Press, 2016. http://dx.doi.org/10.1093/he/9780198745280.003.0013.

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The Concentrate Questions and Answers series offer the best preparation for tackling exam questions. Each book includes typical questions, bullet-pointed answer plans and suggested answers, author commentary and illustrative diagrams and flowcharts. This chapter includes questions on a wide variety of often overlapping points concerned with the sources of European Union (EU) law. The sources of law are the Treaties which are regarded as primary sources and secondary legislation which can be enacted by the institutions of the Union by virtue of the powers given by the Member States and which are contained in the Treaties. Additional sources of law in the EU legal order are agreements with third countries, general principles and the case law of the European Court of Justice (ECJ) establishing, amongst other case law developments, the doctrine of direct effects, supremacy of EU law and state liability.
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Foster, Nigel. "3. The Sources, Forms, and Individual Remedies of EU Law." In Concentrate Questions and Answers EU Law. Oxford University Press, 2018. http://dx.doi.org/10.1093/he/9780198817857.003.0003.

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The Concentrate Questions and Answers series offer the best preparation for tackling exam questions. Each book includes typical questions, bullet-pointed answer plans and suggested answers, author commentary and illustrative diagrams and flowcharts. This chapter includes questions on a wide variety of often overlapping points concerned with the sources of European Union (EU) law. The EU sources of law are the Treaties, Protocols, and the EU Charter of Fundamental Rights, which are regarded as primary sources and secondary legislation which can be enacted by the institutions of the Union by virtue of the powers given by the Member States and contained in the Treaties. Additional sources of law in the EU legal order are agreements with third countries, fundamental rights, general principles, and the case law of the European Court of Justice (ECJ) establishing, amongst other case law developments, the doctrine of direct effects, supremacy of EU law, and state liability.
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Conference papers on the topic "Financial institutions – Law and legislation – European Union countries"

1

Pejović, Aleksandar-Andrija. "“WOULD MONEY MAKE A DIFFERENCE?”: HOW EFFECTIVE CAN THE RULE-OF-LAW-BASED PROTECTION OF FINANCIAL INTERESTS IN THE EU STRUCTURAL AND ENLARGEMENT POLICY BE?" In EU 2021 – The future of the EU in and after the pandemic. Faculty of Law, Josip Juraj Strossmayer University of Osijek, 2021. http://dx.doi.org/10.25234/eclic/18362.

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In recent years, the rule of law and, especially, its “proper” implementation has become one of the most debated topics in Europe in recent years. The “Big Bang Enlargement” marked the beginning of dilemmas whether the new EU Member States fulfil the necessary rule of law criteria and opened the way for divergent views on how to implement TEU Article 2 values in practice. Furthermore, constant problems and difficulty of the candidate countries to fulfil the necessary rule of law criteria added to the complexity of the problem. In turn, the European institutions have tried to introduce a series of mechanisms and procedures to improve the oversight and make the states follow the rules - starting from the famous Treaty on the European Union (TEU) Article 7, the Rule of Law Mechanism, annual reports on the rule of law and the most recent Conditionality Regulation. The Conditionality Regulation was finally adopted in December 2020 after much discussion and opposition from certain EU Member States. It calls for the suspension of payments, commitments and disbursement of instalments, and a reduction of funding in the cases of general deficiencies with the rule of law. On the other hand, similar provisions were laid out in the February 2020 enlargement negotiation methodology specifying that in the cases of no progress, imbalance of the overall negotiations or regression, the scope and intensity of pre-accession assistance can be adjusted downward thus descaling financial assistance to candidate countries. The similarities between the two mechanisms, one for the Member States, the other for candidate countries shows an increased sharing of experiences and approaches to dealing with possible deficiencies or breaches of the rule of law through economic sanctioning, in order to resolve challenges to the unity of the European union. The Covid-19 pandemic and the crisis it has provoked on many fronts has turned the attention of the Member States (i.e. the Council) away from the long running problematic issues. Consequently, the procedures against Poland and Hungary based on the Rule of Law Mechanism have slowed down or become fully stalled, while certain measures taken up by some European states have created concerns about the limitations of human rights and liberties. This paper, therefore, analyses the efforts the EU is making in protecting the rule of law in its Member States and the candidate countries. It also analyses the new focus of the EU in the financial area where it has started to develop novel mechanisms that would affect one of the most influential EU tools – the funding of member and candidate countries through its structural and enlargement policy. Finally, it attempts to determine and provide conclusions on the efficiency of new instruments with better regulated criteria and timing of activities will be and how much they would affect the EU and its current and future member states.
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