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The Law of Financial Advice, Investment Management, and Trading by van Setten, Lodewijk (14th February 2019)
- Preliminary Material
- Main Text
- 1 Overview and Glossary
- 2 Financial Assets and Investment Risk
- Preliminary Material
- A Financial Assets
- B Investment Risk
- C Investment Risk in a Portfolio Context: The Effect of Covariance
- D Optimizing Risk and Return Relationships
- 3 Safeguarding Financial Assets
- Preliminary Material
- A Safeguarding Ownership Rights in Account-based Assets
- B Safeguarding Money
- C Safeguarding Securities
- 1 Immobilization and dematerialization of securities
- 2 Safeguarding the cross-border custody chain
- 3 Securities accounts create equitable co-ownership
- 4 English law and the chain of custody
- 5 Settlement of the trust on a common fund of client securities
- 6 The hybrid legal nature of the securities account
- D Safeguarding CCP Cleared Contracts
- E Mitigating Counterparty Risk: Collateralization and Netting
- 4 Legal and Regulatory Duties to Protect the Client’s Interest
- Preliminary Material
- A Information about the Financial Asset and the Investment Service
- 1 The investor relies on information from the investment firm
- 2 Misrepresentation
- 3 The notion of ‘assumption of responsibility’ at law
- 4 ‘Assumption of responsibility’ versus ‘appropriateness’ and ‘suitability’
- 5 Suitability in the context of portfolio management
- 6 Effect of client classification on the scope of the regulatory responsibility
- B Caveat Emptor versus the Client’s Interest
- C MiFID II’s Control Framework for Conflicts of Interest
- 5 Client Agreements and Compensatory Damages
- Preliminary Material
- A Client Agreements and the Applicable Standard of Skill and Care
- 1 Construction of client agreements
- 2 Pre-contractual dealings
- 3 Standard of care, agency, and other duties implied by law
- 4 Implied duties of the client
- 5 The regulatory standards of care and construction of the client agreement
- 6 The (remarkable) provision of Article 69(2) of MiFID II
- 7 Exclusion of liability
- B Subcontractors (Outsourcing)
- C Compensatory Damages for Conduct Breaches
- 6 Trading and Settlement
- Preliminary Material
- A Trading
- B Settlement
- C Settlement Finality
- 7 Investment and Wealth Management
- Preliminary Material
- A Investment Management
- 1 The legal characteristics of the investment management relationship
- 2 The function of the investment manager
- 3 Collective (pooled) portfolio management
- 4 Investment strategies and investment styles
- 5 The terms and conditions of the investment management agreement
- 6 The skill and care in the exercise of investment discretion
- 7 Trading by the investment manager
- 8 Best execution duties of an investment manager
- B Wealth Management
- Further Material
