Investor Protection in the System of Capital Markets Law: Legal Foundations and Outlook

28 Pages Posted: 16 Nov 2010 Last revised: 24 Nov 2010

See all articles by Thomas M.J. Möllers

Thomas M.J. Möllers

University of Augsburg - Faculty of Law

Date Written: November 16, 2010

Abstract

Sketched in the aftermath of the financial crisis of 1929, US capital markets law was in large parts an example to the relatively young European capital markets law. After another financial crisis which showed the fragility of the financial markets in recent times, this article seeks to sketch out some current flaws in European capital markets law in order to identify areas that need future actions. A distinction is sought to be made in the discussion between market participants, the financial products and information on listed companies, and the relevant financial services of financial intermediaries. The article finally deals with implementation and enforcement measures and the legal methodology of capital markets law. It focuses on gaps in investor protection.

Keywords: Capital Markets Law, Financial Intermediaries, Investor Protection

JEL Classification: K22, K10

Suggested Citation

Möllers, Thomas M.J., Investor Protection in the System of Capital Markets Law: Legal Foundations and Outlook (November 16, 2010). North Carolina Journal of International Law and Commercial Regulation, Vol. 36, 2010/11, Available at SSRN: https://ssrn.com/abstract=1709852

Thomas M.J. Möllers (Contact Author)

University of Augsburg - Faculty of Law ( email )

Germany

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