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法国投资者适当性制度研究 被引量:1

Nouvelles directives protégeant les inverstisseurs franais
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摘要 法国投资者适当性制度主要体现在法国转化欧盟《金融工具市场指令》(MiFID)及其实施指令而经修正的法国金融市场管理局总条例(AMF General Regulation)中,并辅以《货币及金融法典》(Code Monétaire et Financier)。新形势下,法国投资者适当性制度面临新的考验和挑战。欧盟适时推出新的指令,旨在更好地提升投资者保护水平。 La protection des investisseurs francais consiste a modifier la MiFID de l'Union europeenne et les AMF General Regulaition, assorti du Code Monetaire et Financier. En raison de la nouvelle donne economique, le systeme de protection fait face a de nouveaux defis. L'introduction de nouvelles directives de l'UE ne tarde pas a arriver afin d'ameliorer le niveau de protection des investisseurs.
作者 蔺捷
出处 《法国研究》 2015年第2期9-13,8,共6页 ETUDES FRANÇAISES
基金 教育部人文社会科学青年基金项目(14YJC820035) 上海对外经贸大学085工程项目的阶段性成果
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  • 1ector Sants, FSA consults on MiFID rules for firms and mar- kets, available at http ://www. fsa. gov. uk/pages/Library/Communica- tion/PR/2006/075, shtml, visited October 23,2012.
  • 2Charlotte Stalin, Understanding MiFID : New Rules for UK In- vestment Finns, February 19,2008.
  • 3AMF Communication Department, Transposing MiFID into the AMF General Regulation, News Release, Paris,21 May 2007.
  • 4http ://www. calyon, corn/group - overview/the "- markets - in - finmlcial - instruments - directive - mifid, htm, visited October 26, 2013.
  • 5Sebastian Barry, Hannes Bracht, The Implementation of the MiFID into the WpHG, German Law Journal, September 1,2008.
  • 6Giulia Battaglia & Antonio Tavella, MiFID Implementation in Italy,Journal of International Banking Law and Regulation ,2008 ( 7 ).
  • 7Guido Ferrarini."Best execution and competition between trading venues—MiFID’s likely impact"[]."Capital Market Law Journal".
  • 8Bob Penn.Markets in Financial Instruments Directive (‘MiFID‘):best execution[].Butterworths Journal of International Banking and Financial Law.2007
  • 9X Cai.Treading Through Trade-through:A Law and Economics Analysis of SEC Proposed Regulation NMS[].Cornell Law Review.2005
  • 10ESMA Final Report Guidelines on certain aspects of the MiFID suitability requirements. http://www.esma.europa.eu/system/files/2012-387.pdf .

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