I servizi di investimento e la gestione dei conflitti di interesse in Spagna
AbstractThis paper analyses how the Spanish financial system manages the problem of preventing and/or handling conflicts of interest arising for a financial intermediary when it supplies investment services to retail customers. To this end, firstly the paper analyses the regulative framework aimed, on the one hand, to prevent conflicts of interest through higher disclosure of information and ad hoc mechanism of corporate governance and, on the other hand, to punish illegal behaviours. Secondly the paper analyses organizational and operational measures directly adopted by financial intermediaries in order to deal with conflicts of interest within a more general policy of greater disclosure
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Bibliographic InfoPaper provided by Department of Economics, Management and Quantitative Methods at Università degli Studi di Milano in its series Departmental Working Papers with number 2007-30.
Date of creation: 17 Sep 2007
Date of revision:
Spanish financial system; investment services; conflict of interest;
Find related papers by JEL classification:
- G10 - Financial Economics - - General Financial Markets - - - General (includes Measurement and Data)
- G20 - Financial Economics - - Financial Institutions and Services - - - General
This paper has been announced in the following NEP Reports:
- NEP-ALL-2009-06-17 (All new papers)
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