Topic outline

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      Role of regulation in the markets

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      Links to regulation

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      Sustainable finance

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      PSD II disruption in banking

      Fintech: blockchain and smart contracts 

      Use of technology in financial markets 

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      Fintech solutions: 

      securites markets, investment service companies, banking, crowd funding etc. 

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      Financial Service Companies:

      General Regulation

      Financial Products


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      Regulation of Investmemt Firms: Client relationships

      Trading venues


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      Disclosure Obligations:

      The structure of Regulation

      Prospectus Duty

      Regular Disclosure Obligation


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      Ongoing Disclosure Obligation

      Insider Rules and Market Abuse

      Other Disclosure Obligations


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      Insider Regulation, Ongoing Disclosure Obligation and Secrecy

      Information as Property

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      Public bids and mandatory bids

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      Lecture 9

      The Legal Protection of the Investor :

      Administrative and Civil Law Sanctions


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      Damages in the securities markets

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      •The Investor as a Market Actor
      •Behavioral Law and Economics
      •The Duties of an Investor