This book analyzes the legal system for the protection of retail investors under the European
Union law of investment services. It identifies the regulatory leitmotiv driving the EU
lawmaker and ascertains whether and to what extent such a system is self-sufficient using a
set of EU-made and EU-enforced rules that is essentially different and autonomous from the
domestic legal orders. In this regard the book takes a double perspective: comparative and
intra-firm. Given the federal dimension of the US legal system and thus the role-model it
plays vis-à-vis the EU the book compares the two systems. To fully highlight the existing gaps
and measure how self-sufficient the EU system is against its American counterpart the Union
Federal level as such is analyzed - i.e. detached from the national (in EU terms) and State
(in US terms) level. Regulating Investor Protection under EU Law also showcases the unique
intra-firm perspective from a European investment firm and analyzes how EU-produced public-law
rules become a set of compliance requirements for investment services providers. This
within-the-firm angle gauges the self-sufficiency of the EU system of retail investor
protection from the standpoint of an EU-regulated entity. The book is intended for both
compliance professionals and academic scholars interested in this topic while also including
illustrative sections intended to provide a broader regulatory view for less-experienced
readers.
