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E-grāmata: Liability of Asset Managers

Edited by (Institute for Financial Law, University of Nijmegen, The Netherlands), Edited by (David F. Cavers Professor of Law, Duke University, U.S.A.)
  • Formāts: PDF+DRM
  • Izdošanas datums: 08-Mar-2012
  • Izdevniecība: Oxford University Press
  • Valoda: eng
  • ISBN-13: 9780191630965
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Liability of Asset ManagersPalielināt
  • Formāts: PDF+DRM
  • Izdošanas datums: 08-Mar-2012
  • Izdevniecība: Oxford University Press
  • Valoda: eng
  • ISBN-13: 9780191630965
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The only book to provide a systematic and comparative overview of the most important European and international regimes regarding the liability of asset managers.

Given the international nature of the asset management industry, lawyers representing investors, asset managers, and regulators are often confronted with asset management agreements governed by foreign law. This book provides the necessary points of law and practice in the leading jurisdictions allowing lawyers to identify the main pitfalls concerning the foreign law in question.

This book is the only comparative analysis of the law of asset manager liability in the major European jurisdictions, the United States, and Canada, each written by specialists from the relevant jurisdiction. This is a much-needed guide on the disparate regulation of asset manager liability in these countries highlighting the absence of uniformity in this area of law despite the implementation of MiFID in Europe.

The section on European law provides an overview of the regulation in this field regionally and provides the context in which the national chapters explore the regulation at country level. The comparative evaluation at the end of the book provides a thoughtful assessment of the impact of regulatory frameworks on asset managers private law duties and liabilities. The Introduction situates the country-by-country material within the broader context of questions about regulatory design and effectiveness.
Preface xi
Table of Cases
xiii
Table of Legislation
xxix
Table of International Conventions, Agreements etc
xlviii
List of Abbreviations
xlix
List of Contributors
liii
PART I INTRODUCTION
1 Introduction
Danny Busch
Deborah A. DeMott
I Scope of the book
1(13)
II Regulation and Liability in Context
14
PART II EU LAW
2 The Markets in Financial Instruments Directive and Asset Management
Christel M. Grundmann-van de Krol
I Introduction
1(1)
II Origin of MiFID
2(6)
III Scope of MiFID and its Relationship to Collective Asset Management
8(5)
IV Structure of MiFID and the Role of CESR until 1 January 2011
13(7)
V New European Financial Supervisory Architecture: Tasks and Powers of ESMA
20(4)
VI Conditions for Authorization of Investment Firms
24(33)
VII Operating Conditions: Conduct of Business Rules
57(38)
VIII Best Execution
95(8)
IX Review of MiFID: MiFID II
103
PART III CIVIL LAW LEGAL SYSTEMS
3 France
Alain Couret
Philippe Goutay
Bruno Zabala
I Introduction
1(6)
II Definitions and Qualifications
7(12)
III The Regulatory Framework
19(27)
IV The Private Law Duties of an Asset Manager
46(18)
V Liability of an Asset Manager
64(75)
VI Governing Law and Dispute Resolution
139(21)
VII Conclusions
160
4 Germany
Matthias Casper
Christian Altgen
I Introduction
1(2)
II Definitions and Qualifications
3(8)
III The Regulatory Framework
11(26)
IV The Private Law Duties of an Asset Manager
37(45)
V Liability of an Asset Manager
82(65)
VI Governing Law and Dispute Resolution
147(5)
VII Conclusions
152
5 Italy
Paolo Giudici
Matteo Bet
I Introduction
1(5)
II Definitions and Qualifications
6(10)
III The Regulatory Framework
16(26)
IV The Private Law Duties of an Asset Manager
42(20)
V Liability of an Asset Manager
62(52)
VI Governing Law and Dispute Resolution
114(7)
VII Conclusions
121
6 Luxembourg
Isabelle Riassetto
Jean-Florent Richard
I Introduction
1(12)
II Definitions and Qualifications
13(6)
III The Regulatory Framework
19(42)
IV The Private Law Duties of an Asset Manager
61(17)
V Liability of an Asset Manager
78(49)
VI Governing Law and Dispute Resolution
127(11)
VII Conclusions
138
7 The Netherlands
Danny Busch
Larissa Silverentand
I Introduction
1(6)
II Definitions and Qualifications
7(9)
III The Regulatory Framework
16(40)
IV The Private Law Duties of an Asset Manager
56(29)
V Liability of an Asset Manager
85(102)
VI Governing Law and Dispute Resolution
187(9)
VII Conclusions
196
8 Poland
Andrzej W. Kawecki
I Introduction
1(6)
II Definitions and Qualifications
7(5)
III The Regulatory Framework
12(32)
IV The Private Law Duties of an Asset Manager
44(17)
V Liability of an Asset Manager
61(20)
VI Governing Law and Dispute Resolution
81(6)
VII Conclusions
87
9 Spain
Salvador Ruiz Bachs
Emilio Diaz Ruiz
I Introduction
1(1)
II Definitions and Qualifications
2(7)
III The Regulatory Framework
9(19)
IV The Private Law Duties of an Asset Manager
28(31)
V Liability of an Asset Manager
59(28)
VI Governing Law and Dispute Resolution
87(5)
VII Jurisdiction-specific Issues
92(1)
VIII Conclusion
93
10 Switzerland
Luc Thevenoz
Claude Bretton-Chevallier
I Introduction
1(2)
II Definition and Characterization of the Asset Management Contract
3(6)
III Regulation and Self-Regulation
9(11)
IV Duties and Standards
20(38)
V Liability
58(40)
VI Governing Law and Dispute Resolution
98(6)
VII Conclusion
104
PART IV COMMON LAW LEGAL SYSTEMS
11 England and Wales
Lodewijk Van Setten
Tim Plews
I Introduction
1(1)
II Definitions and Qualifications
2(8)
III The Regulatory Framework
10(14)
IV The Private Law Duties of an Asset Manager
24(43)
V Liability of an Asset Manager
67(49)
VI Governing Law and Dispute Resolution
116(2)
VII Conclusions
118
12 Ireland
Andrew Bates
Blanaid Clarke
I Introduction
1(5)
II Definitions and Qualifications
6(5)
III The Regulatory Framework
11(34)
IV The Private Law Duties of an Asset Manager
45(33)
V Liability of an Asset Manager
78(56)
VI Governing Law and Dispute Resolution
134(4)
VII Jurisdiction-specific Issues
138(7)
VIII Conclusions
145
13 United States of America
Deborah A. DeMott
Arthur B. Laby
I Introduction
1(5)
II Definitions and Qualifications
6(9)
III The Regulatory Framework: Institutions, Processes, and Rules
15(79)
IV The Private Law Duties of an Asset Manager
94(18)
V Liability of an Asset Manager
112(42)
VI Governing Law and Dispute Resolution
154(3)
VII Jurisdiction-specific Issues
157(7)
VIII Conclusions
164
PART V MIXED LEGAL SYSTEMS
14 Canada
Pamela Hughes
Cally Jordan
I Introduction
1(13)
II Definitions and Qualifications
14(22)
III The Regulatory Framework: Institutions, Processes, and Rules
36(66)
IV The Private Law Duties of an Asset Manager
102(29)
V Liability of an Asset Manager
131(72)
VI Governing Law and Dispute Resolution
203(5)
VII Jurisdiction-specific Issues
208(1)
VIII Conclusions
209
15 Scotland
David Cabrelli
I Introduction
1(5)
II Definitions and Qualifications
6(5)
III The Regulatory Framework
11(1)
IV The Private Law Duties of an Asset Manager
12(20)
V Liability of an Asset Manager
32(17)
VI Governing Law and Dispute Resolution
49(2)
VII Conclusions
51
PART VI CONCLUSION
16 Comparative Analysis of the Jurisdictions---The Impact of Regulatory Frameworks on an Asset Manager's Private Law Duties and Liability
Danny Busch
Deborah A. DeMott
I Introduction
1(1)
II Impact of Violation of Regulatory Duties on the Asset Manager's Private Law Liability
2(8)
III Validity of Contractual Derogations from Regulatory Duties
10(2)
IV Impact of Violation of Regulatory Duties on Validity of Asset Management Contract
12(3)
V May Private Law Duties be Stricter than Regulatory Duties?
15(4)
VI Concluding Remarks
19(526)
Index 545
Danny Busch is Professor of Financial Law at Radboud University Nijmegen. His research interests include banking and securities law, tort law, contract law, agency law and comparative law.

Deborah DeMott is Professor of Law at Duke University School of Law. She has written on corporate law, takeovers and acquisitions, and fiduciary obligations.
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