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Netherlands
No full textThe increase in the offering of financial products to consumers has driven developments in Dutch case-law pertaining to a bank’s duty of care. In view of this, it seems only natural to begin with an overview of the major cases in this area (section II), followed by a treatment of the legal basis of a bank’s duty of care (section III), and the essential duties typically flowing from it (section IV). The hotly debated topic of the impact of MiFID on a bank’s duty of care is dealt with in section V. In section VI, in view of the fact that a claim based on a breach of a bank’s duty of care is in Dutch law generally based on tort or breach of contract, we will focus on the requirements which must be fulfilled in order to institute a successful damages claim based on tort or breach of contract. Then we move on to the relation between a bank’s duty of care and more traditional doctrines, including reasonableness and fairness, mistake and other defects of consent, unfair contract terms, and voidability or avoidance based on breach of mandatory law or the violation of public morals or public policy (section VII). We continue this chapter with some remarks on group actions and mass claims (section VIII), a proposal of the Ministry of Finance to concentrate civil litigation on the provision of investment services, investment activities and prospectus liability at the Amsterdam District Court (section IX), alternative dispute settlement at the Complaint Institute Financial Services (section X) and the role of the regulator in settling disputes (section XI). Section XII contains some concluding observations...
Going Beyond Counting First Authors in Author Co-citation Analysis
Get PDFThe present study examines one of the fundamental aspects of author co-citation analysis (ACA) - the way co-citation
counts are defined. Co-citation counting provides the data on which all subsequent statistical analyses and mappings
are based, and we compare ACA results based on two different types of co-citation counting - the traditional type that
only counts the first one among a cited work's authors on the one hand and a non-traditional type that takes into
account the first 5 authors of a cited work on the other hand. Results indicate that the picture produced through this non-traditional author co-citation counting contains more coherent author groups and is therefore considerably clearer. However, this picture represents fewer specialties in the research field being studied than that produced through the traditional first-author co-citation counting when the same number of top-ranked authors is selected and analyzed. Reasons for these effects are discussed
Variations on the Author
Get PDF“Variations on the Author” discusses two of Eduardo Coutinho’s recent films (Um Dia na Vida, from 2010, and Últimas Conversas, posthumously released in 2015) and their contribution to the general question of documentary authorship. The director’s filmography is characterized by a consistent yet self-effacing form of authorial self-inscription: Coutinho often features as an interviewer that rather than express opinions propels discourses; an interviewer that is good at listening. This mode of self-inscription characterizes him as an author who is not expressive but who is nonetheless markedly present on the screen. In Um Dia na Vida, however, Coutinho is completely absent form the image, while Últimas Conversas, on the contrary, includes a confessional prologue that moves the director from the margins to the center of his films. This article examines the ways in which these works stand out in the filmography of a director who offers new insights into the notion of cinematic authorship
A Cross-Sectoral Analysis of Corporate Governance Provisions: About Forests and Trees
No full textsponsorship: The author would like to thank the Economic and Social Research Council [ES/J500112/1], the Oxford-Man Institute of Quantitative Finance, Balliol College - University of Oxford, and the Scatcherd European Scholarship for financial support. (Economic and Social Research Council|ES/J500112/1, Oxford-Man Institute of Quantitative Finance, Balliol College - University of Oxford, Scatcherd European Scholarship)status: Publishe
Appropriate Similarity Measures for Author Cocitation Analysis
Get PDFWe provide a number of new insights into the methodological discussion about author cocitation analysis. We first argue that the use of the Pearson correlation for measuring the similarity between authors’ cocitation profiles is not very satisfactory. We then discuss what kind of similarity measures may be used as an alternative to the Pearson correlation. We consider three similarity measures in particular. One is the well-known cosine. The other two similarity measures have not been used before in the bibliometric literature. Finally, we show by means of an example that our findings have a high practical relevance.information science;Pearson correlation;cosine;similarity measure;author cocitation analysis
Part II Investment Firms and Investment Services, 5 Product Governance and Product Intervention under MiFID II/MiFIR
No full textThis chapter analyses the product governance and product intervention rules introduced by MiFID II/MiFIR. It argues that the combination of these two approaches designed to exclude harmful products from the market is a major step forward in investor protection. However, complying with product governance rules will entail costs for the firms concerned. They will have to put in place the requisite internal procedures and there will be a statutory duty for the firm developing the product and the firm distributing it to exchange a considerable volume of information. All in all, the author believes that these extra costs are acceptable; and are dwarfed by the social costs of marketing harmful financial products. The author argues that MiFID II’s introduction of product governance rules and product intervention rules is common sense. It would be naive to think that product governance rules could in practice guarantee that harmful products are no longer marketed.</p
Part II Investment Firms and Investment Services, 9 Agency and Principal Dealing under MiFID I and MiFID II
No full textThis chapter examines whether allowing the extent of the protection afforded to an investor under MiFID to be largely dependent on the distinction between dealing on own account on the one hand and trading on behalf of the client (and other forms of investment service) on the other is justified. The author submits that it is not. The distinction between dealing on own account and trading on behalf of the client is tenuous, arbitrary and easy to manipulate. According to the author, MiFID II provides no practicable criterion either, and resorts to the artifice of reclassifying certain types of dealing on own account as acting on behalf of the client. Finally, both the UK Government and the Dutch Supreme Court take the view that duties of care must also apply where an investment firm acts solely as an investor’s contractual counterparty.</p
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