Global issues in securities law / by Marc I. Steinberg, Radford Professor of Law, SMU Dedman School of Law; Franklin A. Gevurtz, distinguished professor of law, University of the Pacific, McGeorge School of Law; Eric C. Chaffee, professor of law, University of Toledo College of Law.
2013
K1114 .S744 2013 (Map It)
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Author
Title
Global issues in securities law / by Marc I. Steinberg, Radford Professor of Law, SMU Dedman School of Law; Franklin A. Gevurtz, distinguished professor of law, University of the Pacific, McGeorge School of Law; Eric C. Chaffee, professor of law, University of Toledo College of Law.
Published
St. Paul, MN : West, [2013]
Call Number
K1114 .S744 2013
ISBN
9780314278715 (pbk.)
0314278710 (pbk.)
0314278710 (pbk.)
Description
xi, 193 pages ; 24 cm.
System Control No.
(OCoLC)849248222
Bibliography, etc. Note
Includes bibliographical references.
Record Appears in
Gift
Gift of Harvey J. Goldschmid
Added Author
Gift
The Arthur W. Diamond Law Library
Gift of Harvey J. Goldschmid
Table of Contents
Preface
iii
Acknowledgments
v
ch. 1
The Emergence and Regulation of Global Securities Markets
1
Ethiopis Tafara & Robert J. Peterson, A Blueprint for Cross-Border Access, to U.S. Investors: A New International Framework
2
United States Securities and Exchange Commission, International Investing
8
Contemplating the Endgame: An Evolutionary Model for the Harmonization and Centralization of International Securities Regulation / Eric C. Chaffee
11
Empowering Investors: A Market Approach to Securities Regulation / Roberta Romano
15
Post-American Securities Regulation / Chris Brummer
16
U.S. Securities Regulation and Global Competition / Donald C. Langevoort
18
The Hardening of Soft Law in Securities Regulation / Claire R. Kelly Roberta S. Karmel
21
United States Securities and Exchange Commission, SEC Participation in International Organizations / Roberta S. Karmel Claire R. Kelly
24
ch. 2
Issuer Disclosure in Developed Securities Markets / Roberta S. Karmel Claire R. Kelly
31
A.
Types of Information Disclosed / Roberta S. Karmel Claire R. Kelly
32
B.
A Look at the U.S. Disclosure Regime / Claire R. Kelly Roberta S. Karmel
34
C.
IOSCO Principles of Disclosure / Claire R. Kelly Roberta S. Karmel
36
D.
European Union (EU) Directives / Claire R. Kelly Roberta S. Karmel
51
1.
The 2003 EU "Prospectus" Directive / Claire R. Kelly Roberta S. Karmel
51
2.
The 2004 EU "Transparency" Directive / Roberta S. Karmel Claire R. Kelly
56
E.
What About Continuous (or Ongoing) Disclosure? / Roberta S. Karmel Claire R. Kelly
58
F.
A Look at China / Claire R. Kelly Roberta S. Karmel
60
ch. 3
Insider Trading / Claire R. Kelly Roberta S. Karmel
63
Directive 2003/6/EC of The European Parliament and of the Council on Insider Dealing and Market Manipulation / Claire R. Kelly Roberta S. Karmel
64
Gehl v. Daimler AG / Claire R. Kelly Roberta S. Karmel
66
ch. 4
Government Enforcement / Roberta S. Karmel Claire R. Kelly
85
A.
Overview of Government Securities Enforcement in the United States / Claire R. Kelly Roberta S. Karmel
86
B.
Principles of Enforcement-A Look at IOSCO / Claire R. Kelly Roberta S. Karmel
88
C.
Securities Enforcement From a Comparative International Perspective / Roberta S. Karmel Claire R. Kelly
96
ch. 5
Cooperative Enforcement / Claire R. Kelly Roberta S. Karmel
101
United States Securities and Exchange Commission, International Enforcement Assistance / Roberta S. Karmel Claire R. Kelly
101
International Organization of Securities Commissions, Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information / Claire R. Kelly Roberta S. Karmel
107
Memorandum of Understanding Between the United States Securities and Exchange Commission and the Exchange Board of India Regarding Cooperation, Consultation and the Provision of Technical Assistance / Claire R. Kelly Roberta S. Karmel
118
ch. 6
Private Securities Litigation-Disparate Approaches / Roberta S. Karmel Claire R. Kelly
123
A.
The United States Approach-Restrictive Compared to Yesteryear / Roberta S. Karmel Claire R. Kelly
123
B.
Compared to the European Union (EU) Member States / Roberta S. Karmel Claire R. Kelly
125
C.
Australia-More Investor Friendly / Roberta S. Karmel Claire R. Kelly
134
D.
Canada-The Emergence of an Investor Friendly Regime / Roberta S. Karmel Claire R. Kelly
137
Silver v. Imax Corp / Claire R. Kelly Roberta S. Karmel
139
E.
Conclusion / Claire R. Kelly Roberta S. Karmel
143
ch. 7
Territorial Reach / Claire R. Kelly Roberta S. Karmel
145
Morrison v. National Australia Bank Ltd / Claire R. Kelly Roberta S. Karmel
145
Don Berger, Offshore Distribution of Securities: The Impact of Regulations / Claire R. Kelly Roberta S. Karmel
169
ch. 8
Emerging Securities Markets / Roberta S. Karmel Claire R. Kelly
177
A.
Government Regulator or "SRO"? / Roberta S. Karmel Claire R. Kelly
179
B.
Money and Resources-Seemingly Always a Key Dilemma / Roberta S. Karmel Claire R. Kelly
180
C.
Government Enforcement-Civil Versus Criminal / Claire R. Kelly Roberta S. Karmel
182
D.
Private Lawsuit Dilemma / Roberta S. Karmel Claire R. Kelly
183
E.
Regulation of Offerings-Disclosure Versus Merit Regulation / Roberta S. Karmel Claire R. Kelly
184
F.
Facilitating Access to Capital Markets / Roberta S. Karmel Claire R. Kelly
185
1.
"Limited" Offerings / Claire R. Kelly Roberta S. Karmel
186
2.
Institutional Investor Markets / Claire R. Kelly Roberta S. Karmel
186
3.
Public Offerings / Roberta S. Karmel Claire R. Kelly
187
4.
Secondary Markets / Claire R. Kelly Roberta S. Karmel
187
G.
Four Examples: Colombia, Ukraine, Kenya, and Ghana / Roberta S. Karmel Claire R. Kelly
188
1.
Colombia / Claire R. Kelly Roberta S. Karmel
188
2.
Ukraine / Roberta S. Karmel Claire R. Kelly
189
3.
Kenya / Roberta S. Karmel Claire R. Kelly
189
4.
Ghana / Claire R. Kelly Roberta S. Karmel
190
Table Of Cases / Roberta S. Karmel Claire R. Kelly
193