Law

Nico C. Klein

Die Beratungsprotokollpflicht im System des europarechtlich determinierten Anlegerschutzes

[Special Record Keeping Requirements for Investment Advisors in Light of European Investor Protection Law.]

2015. XXIX, 614 pages.

Schriften zum Unternehmens- und Kapitalmarktrecht 21

159,00 €
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cloth
ISBN 978-3-16-153983-1
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Published in German.
Nico C. Klein not only scrutinizes the special record keeping requirements that German law imposes on investment advisors, but also examines a number of still unresolved fundamental questions of Capital Markets Law, such as the reach of European harmonization efforts, the relationship between prudential regulation and civil law, as well as the effectiveness of the enforcement powers of the Federal Financial Supervisory Authority (BaFin).
Nico C. Klein not only scrutinizes the special record keeping requirements that German law imposes on investment advisors, but also examines a number of still unresolved fundamental questions of Capital Markets Law, such as the reach of European harmonization efforts, the relationship between prudential regulation and civil law, as well as the effectiveness of the enforcement powers of the Federal Financial Supervisory Authority (BaFin).
Authors/Editors

Nico C. Klein Geboren 1985; Studium der Rechtswissenschaft in Konstanz; Mitarbeiter am Lehrstuhl für Bürgerliches Recht, Deutsches und Europäisches Handels-, Gesellschafts- und Wirtschaftsrecht der Universität Konstanz (Prof. Dr. Jens Koch); Postgraduiertenstudium an der Columbia University in New York City (LL.M.); seit 2013 Rechtsreferendar am OLG Karlsruhe; 2015 Promotion an der Universität Bonn.

Reviews

The following reviews are known:

In: Fachbuchjournal — 2016, Heft 4, 18–19 (Bernd Müller-Christmann)
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