RESEARCH UPON IMPLEMENTING EFFECTIVE CONTROLS AGAINST ABUSIVE MARKET PRACTICES WITHIN ROMANIAN INVESTMENT FIRMS

This article presents investment firms, especially brokerage companies, in terms of violations of regulations and legislation related to capital market. The first stage of the research hilights the responsibilities of investment firms from Romania to prevent fraudulent practices and market abuse. In the second study we aim to identify possible deviations of governance structures and how they were punished by F.S.A. The last part presents some important cases of fraud and market manipulations made by investment firms.

MoreLess

Year of publication:	2014
Authors:	SPATACEAN, Ioan-Ovidiu ; CERGHIZAN, Anca
Published in:	STUDIA UNIVERSITATIS PETRU MAIOR SERIES OECONOMICA. - Facultatea de Ştiinţe Economice, Juridice şi Administrative. - Vol. 1/2014.2014, December, p. 45-61
Publisher:	Facultatea de Ştiinţe Economice, Juridice şi Administrative
Subject:	investment firm \| market abuse \| fraudulent practices \| internal control \| investors \| MiFID Directive

More details

Extent:	application/pdf
Type of publication:	Article
Classification:	G22 - Insurance; Insurance Companies
Source:	RePEc - Research Papers in Economics

Persistent link: https://www.econbiz.de/10011227847