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Investment recommendations under the Market Abuse Regulation (MAR) – operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
Parola, Lorenzo; Falco, Francesco - In: Journal of Investment Compliance 18 (2017) 3, pp. 85-90
Exchange Commission (“CONSOB”) on the application of the EU Regulation No. 596/2014, the Market Abuse Regulation (“MAR … practical guidance on the applicability of this regulation to persons and firms providing investment recommendations on …
Persistent link: https://www.econbiz.de/10014893789
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Equivalence in Financial Services : A Legal and Policy Analysis
Pennesi, Francesco - 2022
Chapter 1: Introduction -- Part 1: The Regulation of Cross-Border Finance -- Chapter 2: Financial Regulation and … Systemic risk -- Chapter 3: The Regulation of Globalized Finance -- Part 2: Cross-Border Regulation in the EU: The Passport and … the Equivalence Regime -- Chapter 4: The Passport Regime -- Chapter 5: The EU Equivalence Regime: Financial Regulation …
Persistent link: https://www.econbiz.de/10013185628
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The SEC's September spike : regulatory inconsistency within the fiscal year
Donelson, Dain C.; Kubic, Matthew; Toynbee, Sara - In: Journal of accounting and economics 77 (2024) 2/3, pp. 1-26
Persistent link: https://www.econbiz.de/10015048947
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The valuation impact of SEC enforcement actions on nontarget foreign firms
Silvers, Roger - In: Journal of accounting research 54 (2016) 1, pp. 187-233
Persistent link: https://www.econbiz.de/10011450987
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Run EDGAR run : SEC dissemination in a high-frequency world
Rogers, Jonathan L.; Skinner, Douglas J.; Zechman, … - In: Journal of accounting research 55 (2017) 2, pp. 459-505
Persistent link: https://www.econbiz.de/10011696334
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Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian; Xu, Amy - In: The journal of investment compliance 17 (2016) 1, pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
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A game theory model of regulatory response to insider trading
Smales, L. A.; Thul, Matthius - In: Applied economics letters 24 (2017) 7/9, pp. 448-455
Persistent link: https://www.econbiz.de/10011711146
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Financial deregulation : a historical perspective
Drach, Alexis (ed.); Cassis, Youssef (ed.) - 2021
Persistent link: https://www.econbiz.de/10012489029
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SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas; Zwickel, Art; Zaccaro, Thomas A.; … - In: The journal of investment compliance 18 (2017) 1, pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
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The symbolic politics of delegation : macroprudential policy and independent regulatory authorities
Lombardi, Domenico; Moschella, Manuela - In: New political economy 22 (2017) 1, pp. 92-108
Persistent link: https://www.econbiz.de/10011667027