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Dutch Financial Supervision Act (Boom Basics)

Dutch Financial Supervision Act (Boom Basics)

  • 作者:
  • 出版商: Eleven International Publishing
  • ISBN: 9789462361409
  • 出版时间 August 2020
  • 规格: Paperback
  • 适应领域: Netherlands ? 免责申明:
    Countri(es) stated herein are used as reference only
JP¥5,625.90
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  • 描述 
  • 大纲 
  • 详细

    A quick and comprehensive insight into the Dutch Financial Supervision Act.

    In our daily lives, we are all active on the financial markets. We have a mortgage, a payment account, various insurances, a pension and possibly investments in shares on the stock exchange. The financial crisis of 2007 has shown the importance of the functioning of the financial markets for our economy. The crisis eroded public confidence in the financial sector. This explains the increased public’s and government’s attention to the supervision of the financial sector.

    Usually, the government’s attention results in regulation, which is translated into legislation and supervision. For the financial sector, this relates in particular to the Financial Supervision Act (FSA).

    This act is relatively unknown and therefore unloved by most lawyers and law students. This is however completely unjustified. Dutch law cannot be more extensive, complex, dynamic and therefore more challenging than the FSA. The purpose of this book is to make the FSA more accessible to interested parties. It contains clear diagrams, topic-orientated explanations and practical examples to give a quick and comprehensive insight into the FSA.

  • I. Introduction
    1. Position in Dutch law
    2. Origin
    3. Objectives (prudential and conduct of business supervision)
    4. European influences
    5. Structure
    II.
    Part 1 - General
    6. Definitions
    7. Financial product, financial instrument and security
    8. Customer, consumer and public
    9. Professional market party, professional investor, eligible counterparty, qualified investor and institutional
    investor
    10. AIF, undertaking for the collective investment in transferable securities (UCITS), investment fund,
    investment company and investment firm
    11. Financial firm, financial institution and financial service provider
    12. Key information document and key investor information document
    13. Offering and ‘in the course of a profession or business’
    14. Scoping provisions
    15. Affectability of legal acts
    16. Supervision and enforcement
    17. Confidentiality and publication
    18. Liability of regulators
    19. Cooperation between regulators
    20. Procedures; licence and DNO
    21. Remuneration policy
    III.
    Part 2 - Market Access Financial Firms
    22. Introduction
    23. Territorial scope
    24. Statutory exemptions and dispensations
    25. European passport
    26. Payment service providers
    27. Electronic money institutions
    28. Banks
    29. Insurers
    30. Offering investment objects
    31. Offering credit
    32. Managing and offering of units in AIFs and UCITS
    33. Advising on financial products other than financial instruments
    34. Acting as an intermediary
    35. Providing investment services and performing investment activities
    36. Licence requirements
    37. Access to foreign financial markets; notification procedure
    IV.
    Part 3 - Prudential Supervision of Financial Firms
    38. Introduction
    39. Group finance companies
    40. The prohibition to obtain repayable funds
    41. The prohibition to use the word ‘bank’
    42. Suitability and trustworthiness
    43. Integrity policy
    44. Structuring and organisation
    45. Minimum capital
    46. Solvency and financial position
    47. Capital buffer
    48. Liquidity
    49. Technical provisions
    50. Qualifying holdings in and by financial firms
    51. Measures in the event of breaches of prudential rules
    52. Transfer of portfolio by insurers
    53. Recovery plan
    54. Investor compensation scheme and deposit guarantee scheme
    55. Investment principles and investment policies of PPIs 144
    56. Consolidated supervision of financial firms 145
    V.
    Part 3A - Special measures and provisions concerning financial firms
    57. General information
    58. The preparation phase
    59. The early intervention phase
    60. The resolution phase
    61. Special measures
    62. Legal protection
    VI.
    Part 4 - Conduct of business supervision of financial firms
    63. Introduction
    64. Suitability
    65. Knowledge and competence
    66. Trustworthiness
    67. Integrity policy
    68. Structuring and organisation
    69. Duty of care
    70. Client classification and know-your-customer
    71. Ban on inducements
    72. Notification obligations
    73. Offering investment objects
    74. Granting credit 203
    75. Offering units in investment funds 205
    76. Intermediation
    77. Providing investment services
    78. Relationships between financial firms
    VII.
    Part 5 - Market conduct supervision of financial firms
    79. Rules for the offering of securities
    80. Rules for information provision by issuers
    81. Rules for access to Dutch markets for market operators and for managing a regulated market
    82. Rules for disclosure of votes, capital, control and capital interest in issuers
    83. Rules to prevent market abuse
    84. Securities-related market conduct of business supervision
    85. Public bids for securities
    86. Code of conduct for institutional investors
    VIII.
    Part 6 - Special measures relating to the stability of the financial system
    87. Immediate measures and expropriation
    88. Legal protection and compensation
    Index

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