CERCETĂRI PRIVIND IMPLEMENTAREA CONTROALELOR OPERAȚIONALE ÎMPOTRIVA PRACTICILOR ABUZIVE DE PIAȚĂ ÎN CADRUL FIRMELOR ROMÂNEȘTI DE INVESTIȚII
RESEARCH UPON IMPLEMENTING EFFECTIVE CONTROLS AGAINST ABUSIVE MARKET PRACTICES WITHIN ROMANIAN INVESTMENT FIRMS
Author(s): Ioan-Ovidiu Spătăcean, Anca-Elena CerghizanSubject(s): Governance, Law on Economics, EU-Accession / EU-DEvelopment, Financial Markets, Accounting - Business Administration, Business Ethics
Published by: Editura University Press Targu Mures
Keywords: investment firm; market abuse; fraudulent practices; internal control; investors; MiFID Directive;
Summary/Abstract: 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 highlights 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.
Journal: Acta Marisiensis. Seria Oeconomica
- Issue Year: 8/2014
- Issue No: 8
- Page Range: 45-61
- Page Count: 17
- Language: English, Romanian