Conflicts of interest and duty a comparative analysis in Anglo-Japanese law

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1. Verfasser: Nakajima, Chizu (VerfasserIn)
Format: Buch
Sprache:English
Veröffentlicht: The Hague [u.a.] Kluwer Law Internat. 1999
Ausgabe:1. publ.
Schriftenreihe:Studies in comparative corporate and financial law 3
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Datensatz im Suchindex

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adam_text CONFLICTS OF INTEREST AND DUTY A COMPARATIVE ANALYSIS IN ANGLO-JAPANESE LAW CHIZU NAKAJIMA KLUWER LAW INTERNATIONAL THE HAGUE - LONDON - BOSTON CONTENTS PAGE TABLE OF CASES IX TABLE OF STATUTES AND STATUTORY INSTRUMENTS XX PREFACE XXV CHAPTER 1 INTRODUCTION 1 CONFLICTS OF INTEREST 4 CONFLICTS OF INTEREST IN FINANCIAL SERVICES 7 CHAPTER 2 THE DUTIES OF FINANCIAL INTERMEDIARIES IN ENGLISH LAW WITH PARTICULAR REFERENCE TO CONFLICTS OF INTEREST 13 INTRODUCTION 13 THE CATEGORIES OF CONFLICT 13 A SIMPLER TIME 15 BILATERAL RELATIONSHIP: PRINCIPAL AND AGENT 17 DISCLOSURE 19 MULTILATERAL RELATIONSHIP: ONE AGENT AND MULTIPLE PRINCIPALS 22 CONFLICTS OF INTEREST AND FIDUCIARY OBLIGATIONS 24 EQUITABLE PRINCIPLES AND AGENCY RELATIONSHIPS 25 THE FIDUCIARY RULES 28 THE CONFUSION OVER CONFIDENCE 36 STOCKBROKERS DUTIES UNDER ENGLISH LAW WITH REFERENCE TO CARE AND SKILL 40 CHAPTER 3 CONFLICTS OF INTEREST IN JAPAN 45 CONFLICTS OF INTEREST: A JAPANESE PERSPECTIVE 45 CONFLICTS OF INTEREST IN JAPANESE LAW 48 DIRECTORS DUTIES UNDER JAPANESE LAW 49 RULES CONCERNING THE STOCKBROKER-CUSTOMER RELATIONSHIP IN JAPAN 58 CONTENTS BROKERS ADVICE 61 PROPOSED CHANGES 63 CHAPTER 4 IMPUTATION OF KNOWLEDGE 64 INTRODUCTION 64 IMPUTATION OF NOTICE AND KNOWLEDGE IN AGENCY LAW 66 ACQUISITION OF KNOWLEDGE BY COMPANIES 69 THE LAW COMMISSION S ANALYSIS 75 IMPUTATION OR ATTRIBUTION? 80 IMPUTATION WITHIN A COMPANY 81 IMPLICATIONS FOR FINANCIAL CONGLOMERATES 82 CHAPTER 5 DUTIES OF ADVISER AND INFORMATION PROVIDER 84 INTRODUCTION 84 THE FIDUCIARY DUTY 86 THE BANK AND INTERMEDIARY AS ADVISER: DUTIES AT COMMON LAW 91 ADVISERS IN CONFLICT OF INTEREST SITUATIONS 93 FULL AND FRANK DISCLOSURE: CONFLICTS OF SELF-INTEREST AND DUTY 96 STANDARD OF SKILL AND CARE IN PROFESSIONAL NEGLIGENCE 102 THE LAW OF MISREPRESENTATION 106 INFORMATION OR ADVICE 111 THE QUESTION OF COMPENSATION 113 AN ELEMENT OF COMMERCIAL REALITY 114 CHAPTER 6 INSIDER DEALING REGULATION IN THE UK 121 INTRODUCTION 121 HISTORICAL PERSPECTIVE 122 POLICY JUSTIFICATIONS 123 BACKGROUND TO REGULATION 126 INFLUENCE OF EUROPE AND CHANGES MADE BY THE CRIMINAL JUSTICE ACT 1993 128 OFFENCE AND PENALTIES 130 INSIDERS, ACCESS TO INFORMATION AND TIPPEES 130 INSIDE INFORMATION 132 PRICE SENSITIVITY 133 MADE PUBLIC 134 DEALING, SECURITIES AND MARKETS 136 DEFENCES 137 COMPLIANCE ISSUES 138 CIVIL LIABILITY 142 ENFORCEMENT 144 THE NEED FOR REFORM 148 CHAPTER 7 INSIDER DEALING REGULATION IN JAPAN 152 INTRODUCTION 152 BACKGROUND TO REGULATION 153 INSIDER 157 VI CONTENTS TIPPER AND TIPPEE 159 INSIDE INFORMATION UNDER THE SEL 162 EXEMPTIONS AND DEFENCES 164 A JAPANESE SECURITIES HOUSE AS AN INSIDER 165 CORPORATE INFORMATION AND MARKET INFORMATION 166 THE LEGACY OF THE OCCUPATION 167 CIVIL LIABILITY 169 ADMINISTRATIVE GUIDANCE AND SANCTIONS 171 SELF-REGULATION AND THE CHINESE WALL 172 PROBLEMS OF RECEPTION OF FOREIGN LAWS 175 PROPOSED REFORMS 177 CHAPTER 8 MONEY LAUNDERING IN THE UK: THE POTENTIAL FOR CONFLICT 180 INTRODUCTION 180 ANTI-MONEY LAUNDERING LEGISLATION IN THE UK 183 OFFENCES 186 PENALTIES 188 REPORTING OF SUSPICIOUS TRANSACTIONS 188 BANK SECRECY: DUTY OF CONFIDENTIALITY V. DUTY TO DISCLOSE 190 A BANK OR INTERMEDIARY AS A CONSTRUCTIVE TRUSTEE 193 SUSPICION 201 RNOWING ASSISTANCE 203 LOCUSSTANDI 212 KNOWING RECEIPT 216 ASOLUTION? 219 BREACH OF CONTRACT AND TORTIOUS LIABILITY 223 CHAPTER 9 ANTI-MONEY LAUNDERING LEGISLATION AND ITS IMPLICATIONS FOR FINANCIAL INSTITUTIONS IN JAPAN 228 INTRODUCTION 228 BACKGROUND 232 CIRCULAR NOTICE AND NOTICE ISSUED BY THE MINISTRY OF FINANCE 233 THE NARCOTICS SPECIAL LAW AND MONEY LAUNDERING OFFENCES 234 FINANCIAL INSTITUTIONS STATUTORY OBLIGATIONS TO REPORT 237 BANK SECRECY: DUTY OF CONFIDENTIALITY V. DUTY TO DISCLOSE 239 TORTIOUS LIABILITY 241 THE NEED FOR REFORM 243 CHAPTER 10 THE CHINESE WALL 245 THE HISTORICAL DEVELOPMENT OF THE CHINESE WALL 245 WHAT IS A CHINESE WALL? 247 PRACTICAL EFFICACY OF THE CHINESE WALL 250 THE LEGAL POSITION OF THE CHINESE WALL UNDER THE FINANCIAL SERVICES ACT 1986 256 THE CHINESE WALL AND THE REGULATORY RULES 263 THE LEGAL EFFICACY OF THE CHINESE WALL 268 VII CONTENTS ENGLISH CASES ON THE CHINESE WALL 269 THE REINFORCED CHINESE WALL 275 MANDATORY DIVESTMENT OF FUNCTION: AN ALTERNATIVE TO THE CHINESE WALL 277 THE LAW COMMISSION 279 RECONCILING THE IRRECONCILABLE 282 CHAPTER 11 A CONCLUSION - TO CONFLICT? 285 THE QUESTIONS IF NOT THE ANSWERS 294 DO CONFLICTS REALLY MATTER? 294 HOW TO PROCEED? 295 THE PRACTICALITIES OF PROOF 297 JAPAN S PERSPECTIVE 299 THE BALANCE 301 INDEX 303 VIN
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author Nakajima, Chizu
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series Studies in comparative corporate and financial law
series2 Studies in comparative corporate and financial law
spellingShingle Nakajima, Chizu
Conflicts of interest and duty a comparative analysis in Anglo-Japanese law
Studies in comparative corporate and financial law
Conflits d'intérêts - Grande-Bretagne ram
Conflits d'intérêts - Japon ram
Conflits d'intérêts - États-Unis ram
Services financiers - Grande-Bretagne ram
Services financiers - Japon ram
Services financiers - États-Unis ram
Recht
Conflict of interests Great Britain
Conflict of interests Japan
Conflict of interests United States
Financial services industry Law and legislation Great Britain
Financial services industry Law and legislation Japan
Financial services industry Law and legislation United States
Finanzdienstleistung (DE-588)4212226-0 gnd
Interessenkonflikt (DE-588)4123438-8 gnd
Recht (DE-588)4048737-4 gnd
Internationaler Vergleich (DE-588)4120509-1 gnd
subject_GND (DE-588)4212226-0
(DE-588)4123438-8
(DE-588)4048737-4
(DE-588)4120509-1
title Conflicts of interest and duty a comparative analysis in Anglo-Japanese law
title_auth Conflicts of interest and duty a comparative analysis in Anglo-Japanese law
title_exact_search Conflicts of interest and duty a comparative analysis in Anglo-Japanese law
title_full Conflicts of interest and duty a comparative analysis in Anglo-Japanese law Chizu Nakajima
title_fullStr Conflicts of interest and duty a comparative analysis in Anglo-Japanese law Chizu Nakajima
title_full_unstemmed Conflicts of interest and duty a comparative analysis in Anglo-Japanese law Chizu Nakajima
title_short Conflicts of interest and duty
title_sort conflicts of interest and duty a comparative analysis in anglo japanese law
title_sub a comparative analysis in Anglo-Japanese law
topic Conflits d'intérêts - Grande-Bretagne ram
Conflits d'intérêts - Japon ram
Conflits d'intérêts - États-Unis ram
Services financiers - Grande-Bretagne ram
Services financiers - Japon ram
Services financiers - États-Unis ram
Recht
Conflict of interests Great Britain
Conflict of interests Japan
Conflict of interests United States
Financial services industry Law and legislation Great Britain
Financial services industry Law and legislation Japan
Financial services industry Law and legislation United States
Finanzdienstleistung (DE-588)4212226-0 gnd
Interessenkonflikt (DE-588)4123438-8 gnd
Recht (DE-588)4048737-4 gnd
Internationaler Vergleich (DE-588)4120509-1 gnd
topic_facet Conflits d'intérêts - Grande-Bretagne
Conflits d'intérêts - Japon
Conflits d'intérêts - États-Unis
Services financiers - Grande-Bretagne
Services financiers - Japon
Services financiers - États-Unis
Recht
Conflict of interests Great Britain
Conflict of interests Japan
Conflict of interests United States
Financial services industry Law and legislation Great Britain
Financial services industry Law and legislation Japan
Financial services industry Law and legislation United States
Finanzdienstleistung
Interessenkonflikt
Internationaler Vergleich
Großbritannien
USA
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