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44 results on '"Kumpan, Christoph"'

26. Commentary on MiFID II Conduct of Business Rules, Arts 21-30 MiFID II

Author

Lehmann, Mathias, Kumpan, Christoph, Brenncke, Martin, Lehmann, Mathias, Kumpan, Christoph, and Brenncke, Martin

Abstract

This paper provides a detailed commentary of arts. 21 through 30 of the new Markets in Financial Instruments Directive (Directive 2014/65/EU, MiFID II). Its primary target audience is legal practitioners who want to inform themselves about the operating conditions for investment firms in Europe, particularly the conduct of business rules. MiFID II will come into force on 3rd January 2018. The aim of the commentary is to provide an understandable and at the same time thorough account of MiFID II’s requirements, the corresponding provisions in the MiFID II Delegated Directive (Directive (EU) 2017/593) and MiFID II Delegated Regulation (Regulation (EU) 2017/565) as well as ESMA’s guidance. The commentary also directs readers to issues that are in doubt or completely uncertain in the new regime, and it adopts a clear stance on these issues.

Published
2019

27. European Financial Services Law

Author

Lehmann, Matthias, Kumpan, Christoph, Lehmann, Matthias, and Kumpan, Christoph

Subjects
Financial services industry--Law and legislation
Abstract

This volume analyses and explains EU legislation governing financial services. It is for legal practitioners in international law firms, the financial industry, regulators, and academics needing an in-depth understanding of financial services regulations. It is intended to serve as a handy reference book, providing both easy-to-understand overviews of complex topics and insightful analyses of difficult legal issues. Experts renowned in their fields explain, article-by-article, the important EU directives and regulations governing financial services. Examples illustrate how important provisions apply in practice. Level ‡and ˆmeasures are put into context. The book is structured as follows: securities and markets Service market behaviour market transparency and information funds securities clearing and settlement payment services. For each subject area, the most relevant directives and regulations have been selected. Legal texts covered in this book include, among others, the following: MiFID II and MiFIR MAR and MAD Prospectus Directive PRIIP Regulation Transparency Directive Short Selling Regulation Rating Agency Regulation UCITS and AIFMD Venture Capital Funds Regulation Finality Directive Financial Collateral Directive EMIR SEPA Regulation.

Published
2019

34. The Multilateral Single-dealer System-An Oxymoron under MiFID II?

Author

Kumpan, Christoph and Mueller-Lankow, Hendrik

Subjects
MARKET design & structure (Economics), FINANCIAL instruments
Abstract

Among European regulators and in the academic literature, diverging criteria have been developed to distinguish multilateral from bilateral trading systems. Depending on which criteria are applied, operators of multilateral systems may or may not organise multilateral trading in the form of a (quote-driven) single-dealer system. This article aims to present our position on this issue. We argue that the wording o f the second sentence o f Recital 7 of MiFIR (Regulation 600/2014) disguises the true legal intention of MiFID II/MiFIR, which, at a minimum, allows market operators to structure a regulated market as a single-dealer system. [ABSTRACT FROM AUTHOR]

Published
2019

38. Auditor Independence at the Crossroads — Regulation and Incentives

Author

Max Planck Institute Working Group on Auditor Independence, Doralt, Walter, Fleckner, Andreas M., Hopt, Klaus J., Kumpan, Christoph, Steffek, Felix, Zimmermann, Reinhard, Hellgardt, Alexander, Augenhofer, Susanne, Max Planck Institute Working Group on Auditor Independence, Doralt, Walter, Fleckner, Andreas M., Hopt, Klaus J., Kumpan, Christoph, Steffek, Felix, Zimmermann, Reinhard, Hellgardt, Alexander, and Augenhofer, Susanne

Abstract

This publication is with permission of the rights owner freely accessible due to an Alliance licence and a national licence (funded by the DFG, German Research Foundation) respectively., In November 2011, the European Commission published legislative drafts proposing radical reforms for statutory audits in Europe, fuelling heated political and academic debates. This paper presents cornerstones for a new regulatory framework of auditing and thereby contributes to the ongoing debate on the role of auditors and their independence., Peer Reviewed

Published
2012

43. Book Review.

Author

Kumpan, Christoph

Subjects
*CORPORATION law, *NONFICTION
Abstract

The article reviews the book "Principles of Corporate Finance Law," by Eilis Ferran.

Published
2010
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44. Commentary on MiFID II Conduct of Business Rules, Arts 21-30 MiFID II

Author

Brenncke, Martin, Lehmann, Mathias, and Kumpan, Christoph

Abstract

This paper provides a detailed commentary of arts. 21 through 30 of the new Markets in Financial Instruments Directive (Directive 2014/65/EU, MiFID II). Its primary target audience is legal practitioners who want to inform themselves about the operating conditions for investment firms in Europe, particularly the conduct of business rules. MiFID II will come into force on 3rd January 2018. The aim of the commentary is to provide an understandable and at the same time thorough account of MiFID II’s requirements, the corresponding provisions in the MiFID II Delegated Directive (Directive (EU) 2017/593) and MiFID II Delegated Regulation (Regulation (EU) 2017/565) as well as ESMA’s guidance. The commentary also directs readers to issues that are in doubt or completely uncertain in the new regime, and it adopts a clear stance on these issues.

Published
2019

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