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Challenges in Securities Markets Regulation:
Investor Protection and Corporate Governance 

edited by Pablo Gasós, Ernest Gnan and Morten Balling

A joint publication with the The Comisión Nacional del Mercado de Valores (CNMV)

On November 14th, 2014, SUERF – The European Money and Finance Forum – and CNMV, Comisión Nacional del Mercado de Valores – the Spanish Authority for supervision of securities markets – jointly organized a conference in Madrid: Challenges in Securities Markets Regulation: Investor Protection and Corporate Governance. The conference was part of the activities arranged to celebrate the 25th anniversary of the creation of the CNMV. The present SUERF Study includes a selection of papers based on the authors’ contributions to the Madrid conference.

Pablo Gasós, Ernest Gnan & Morten Balling

Fundamental challenges for securities regulation: a political economy crisis in the making?
Paul Tucker

Challenges in designing investor and borrower protection
Michael Haliassos

Protecting financial consumers and retail products: a case for smart intervention and better information
Theodor Kockelkoren

Beyond information: the role of financial entities in educating investors
Juan Carlos Ureta

The role of banks in fostering financial inclusion
José Manuel González-Páramo

The Role of Regulators in Investor Education
Lori J. Schock

The Risk of Risk Committees
Colin Mayer

Corporate Governance of Banks according to the CRD IV
Eddy Wymeersch

Additional Info
Keywords: Securities markets, design of regulation, disclosure requirements, transparency, stock exchanges, investor protection, financial supervision, prudential regulation, regulatory arbitrage, constrained discretion, risk management, risk committees, financial stability, financial education, financial literacy and capability, financial inclusion, incentive structure, financial advice, conflicts of interest, complexity of financial products, product-based and user-based regulation, borrower protection, advice practices, certification of advisors, quality of prospectuses, rule books, active and passive funds, execution only, investment performance, loan performance, corporate governance, market discipline

JEL-codes: D14, D18, D82, D83, G11, G14, G18, G21, G28, G32, K22

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