TEACHING

BANKING AND FINANCIAL REGULATION

Prof. Domenico Siclari

a.a. 2021-2022

CONTENTS

1. Context, Specific Features and Potential Evolution of the European and Italian Banking and Financial Law. – 2. Supervision Purposes in Banking, Finance and Insurance Regulation. – 3. Supervision Forms: Obligation to Provide Information, Powers of Investigation and Intervention, Regulatory Powers. – 4. Prevention and Countering of Money Laundering and Terrorism Financing. – 5. Intermediaries and Markets. – 6. Banks, Financial Intermediaries in Investment Services or Activities, Electronic Money Institutions and Payment Institutions, Insurance Companies. – 7. Regulation of Markets in Financial Instruments in Italy and in the European Union: General Principles. – 8. Regulated Markets and unregulated Markets. – 9. Regulation of Banking Activities. – 10. Investment Services or Activities. – 11. Collective Portfolio Management. – 12. Rules Regarding Relations Between Intermediaries and Customers. – 13. Public Offer. – 14. Public Takeover Bids. – 15. Listed Companies. – 16. Reinsurance Business. – 17. Bank and Financial Intermediaries crisis management. – 18. Payment System Oversight and Regulation. - 19. Banking Contracts Law.

READING LIST

Required readings:

D. Siclari (ed.), Italian Banking and Financial Law: Intermediaries and Markets, Palgrave Macmillan, 2015

D. Siclari (ed.), Italian Banking and Financial Law: Regulating Activities, Palgrave Macmillan, 2015

Recommended readings:

S. Grundmann - P. Sirena (eds.), European Banking Contracts Law in the Banking and Financial Union, Intersentia, 2021

G. Lo Schiavo (ed.), The European Banking Union and the Role of Law, Elgar Financial Law series, 2019

M.P. Chiti - V. Santoro (eds.), The Palgrave Handbook of European Banking Union Law, Palgrave Macmillan, 2019