Sökning: "EU financial regulation"

Visar resultat 1 - 5 av 11 avhandlingar innehållade orden EU financial regulation.

1. 1. Legal Aspects of Conflicts of Interest in the Financial Services Sector in the EU and China : The XYZ of Norm-making

   Författare :Kelly Chen; Jan Kleineman; Jessika van der Sluijs; Ross Cranston; Stockholms universitet; []
   Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; conflicts of interest; investment services; EU financial regulation; MIFID II; Chinese financial regulation; Chinese law; soft law; intressekonflikter; finansiella marknader; EU finansmarknadsreglering; kinesisk finansmarknadsreglering; kinesisk rätt; Private Law; civilrätt;

   Sammanfattning : The dissertation is an analysis of financial services firms’ duty to manage the conflicts of interest that can arise within the scope of the firm-client relationship in the financial services sectors in the EU and China. Three services in particular are used as examples, namely buying and selling shares in companies on behalf of clients, investment advisory, and individual portfolio management in relation to such shares. LÄS MER

3. 2. Monsoon Paper Dragons : Transparency, Accountability, Risk, and Compliance in Banking Regulation and Practice

   Författare :Shruti Kashyap; Fredrik Nilsson; Nils-Göran Olve; Einar Iveroth; Martin Messner; Uppsala universitet; []
   Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; Accountability; Banking; Compliance; Financial Regulation; Risk Control; Transparency; Business Studies; Företagsekonomi;

   Sammanfattning : This dissertation explores the overall research question of how transparency- and accountability-driven post-crisis financial regulations within the European Union (EU) have influenced risk control and compliance in banks. The dissertation consists of five substantive chapters: an introductory synthesis; a published law journal article; two published book chapters, one of which is an extensive literature review; and one working paper that has previously been presented at multiple international conferences and is currently under review with a European journal in the field of accounting. LÄS MER

4. 3. Sound Banking

   Författare :Rebecca Söderström; Daniel Stattin; Torbjörn Ingvarsson; Nina Dietz Legind; Uppsala universitet; []
   Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; banking; banking law; banking regulation; financial supervision; law and economics; Civil Law; Civilrätt;

   Sammanfattning : Banks are subject to a comprehensive body of legal rules and conduct their business under constant supervision of authorities. Since the financial crisis of 2008, the number of rules governing banking has grown and the structures of supervision have likewise been enhanced. LÄS MER

5. 4. Organizing for efficiency : Essays on merger policies, independence of authorities, and technology diffusion

   Författare :Anh Mai; Mats Bergman; Lars Hultkrantz; Ranjula Bali Swain; Lars Persson; Örebro universitet; []
   Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; merger; regulation; reform; authority; corruption; broadband; diffusion; policy; industrial organization; accountability; Politics; Economy and the Organization of Society;

   Sammanfattning : Institutions are fundamentally sets of rules in a society that help create stability. Organizations are groups of people who may share the same goal. Changes in organizations and institutions will have large effects on the performance of economies. LÄS MER

7. 5. Prioritet och avtal : Intercreditoravtal i svensk rätt, särskilt vid insolvens

   Författare :Sara Göthlin; Göran Millqvist; Gustaf Sjöberg; Johan Adestam; Stockholms universitet; []
   Nyckelord :SAMHÄLLSVETENSKAP; SOCIAL SCIENCES; bankruptcy; reorganisation; restructuring; insolvency; ranking of creditors; priority; intercreditor agreement; subordination; limited recourse; security agent; tranching; financial regulation; leveraged finance; non-action; rättsvetenskap med inriktning mot civilrätt; Legal Science; specialisation Private Law;

   Sammanfattning : An intercreditor agreement is a contract between two or more creditors in relation to a common debtor. It regulates, among other things, the priority of payment and the distribution of proceeds from the enforcement of security. LÄS MER