Bibliography for the UNIDROIT Legislative Guide on Intermediated Securities

 

As contemplated in the UNIDROIT Legislative Guide on Intermediated Securities, this webpage sets forth bibliographic references for consideration in connection with the Legislative Guide. Such references are categorised as either (I) instruments and guidance documents from international Organisations and entities or (II) scholarly articles and related materials. Within those categories, the references are organised alphabetically by the entity or individual authors, and those that are referenced in the Guide are indicated with a “ * ”.

 

It must be noted, however, that inclusion of a reference in the bibliography does not indicate UNIDROIT’s agreement or approval of it.

 

 

 

I. Instruments and guidance documents from international Organisations and entities

 

 

BCBS, Basel Capital Accord: The Treatment of the Credit Risk Associated with Certain Off-balance-sheet Items (July 1994).

 

BCBS, Basel Capital Accord: Treatment of Potential Exposure for Off-balance-sheet Items (April 1995).

 

BCBS, Basel II: International Convergence of Capital Measurement and Capital Standards: A Revised Framework: Comprehensive Version (June 2006).

 

BCBS, Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems (June 2011).

 

BCBS, Capital Requirements for Bank Exposures to Central Counterparties (July 2012).

 

BCBS, Consultative Document: Haircut Floors for Non-centrally Cleared Securities Financing Transactions (November 2015).

 

BCBS, Principles for Home-Host Supervisory Cooperation and Allocation Mechanisms in the Context of Advanced Measurement Approaches (AMA) (November 2007).

 

BCBS, Report and Recommendations of the Cross-border Bank Resolution Group (March 2010).

 

BCBS, Resolution Policies and Frameworks: Progress So Far (July 2011).

 

* BCBS and IOSCO Board, Margin Requirements for Non-centrally Cleared Derivatives (March 2015).

 

BIS, Report of the Committee on Interbank Netting Schemes of the Central Banks of the Group of Ten Countries (1990; reformatted and repaginated 1999 website version).

 

* BIS, Quarterly Review (December 2016), (BIS Quarterly Review).

 

Corporate Actions Joint Working Group, Market Standards for Corporate Actions Processing (2012; revised version).

 

CPMI, Cyber Resilience in Financial Market Infrastructures (November 2014).

 

CPMI, Developments in Collateral Management Services (September 2014).

 

CPMI, Digital Currencies (November 2015).

 

CPMI, ‘Glossary’ (October 2016).

 

CPMI, ‘Monitoring implementation of the PFMI’

 

CPMI and IOSCO Board, Consultative Report: Guidance on Cyber Resilience for Financial Market Infrastructures (November 2015).

 

CPMI and IOSCO Board, Recovery of financial market infrastructures (October 2014).

 

CPSS, Delivery Versus Payment in Securities Settlement Systems (September 1992).

 

CPSS, Cross-border Securities Settlements (March 1995).

 

CPSS, Core Principles for Systemically Important Payment Systems (January 2001).

 

CPSS, The Role of Central Bank Money in Payment Systems (August 2003).

 

CPSS, Central Bank Oversight of Payment and Settlement Systems (May 2005).

 

CPSS and IOSCO Board, Principles for Financial Market Infrastructures: Disclosure Framework and Assessment Methodology (December 2012).

 

CPSS and IOSCO Board, Recovery and Resolution of Financial Market Infrastructures: Consultative Report (July 2012).

 

CPSS and IOSCO Board, Recovery of Financial Market Infrastructures: Consultative Report (August 2013).

 

CPSS and IOSCO Technical Committee, Recommendations for Securities Settlement Systems (November 2001).

 

CPSS and IOSCO Technical Committee, Recommendations for Central Counterparties (November 2004).

 

* CPSS and IOSCO Technical Committee, Principles for Financial Market Infrastructures (April 2012).

 

EC, Commission Staff Working Document, Impact Assessment Accompanying the document Proposal for a Directive of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directives 77/91/EEC and 82/891/EC, Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC and 2011/35/EC and Regulation (EU) No 1093/2010 (6 June 2012; SWD(2012) 166 final).

 

EC, Commission Staff Working Document: Legal Assessment of Certain Aspects of the Hague Securities Convention (SEC(2006) 910).

 

EC, An EU Framework for Cross-Border Crisis Management in the Banking Sector (COM(2009) 561 final).

 

EC, An EU Framework for Crisis Management in the Financial Sector (COM(2010) 579 final; Communication).

 

EC, Bank Resolution Funds (COM(2010) 254 final).

 

EC, Directive 98/26/EC on settlement finality (19 May 1998).

 

EC, Directive 2002/47/EC on financial collateral (6 June 2002), https://ec.europa.eu/info/law/financial-collateral-directive-2002-47-ec_en.

 

EC, Discussion Paper on the Debt Write-down Tool: Bail-in (2012; DG Internal Market and Services Working Document).

 

EC, Giovannini Group, Cross-border Clearing and Settlement: Arrangements in the European Union (Brussels, November 2001).

 

EC, Giovannini Group, Second Report on EU Clearing and Settlement Arrangements (April 2003).

 

EC, Legal Certainty Group, Second Advice of the Legal Certainty Group: Solutions to Legal Barriers Related to Post-trading within the EU (August 2008).

 

EC, Legislation on Legal Certainty of Securities Holding and Dispositions (DG Markt G2 MET/OT/acg D(2010) 768690; Second Consultation Document of the Services of the Directorate-General Internal Market and Services).

 

EC, Legislation on Legal Certainty of Securities Holding and Dispositions: Summary of Responses to the Directorate-General Internal Market and Services’ Second Consultation (2011).

 

EC, Technical Details of a Possible EU Framework for Bank Recovery and Resolution (January 2012; DG Internal Market and Services Working Document).

 

ECB, Report on the Lessons Learned from the Financial Crisis with Regard to the Functioning of European Financial Market Infrastructures (April 2010).

 

ECB, Eurosystem Oversight Policy Framework (July 2011).

 

ECB and CESR, Standards for Securities Clearing and Settlement in the European Union (September 2004).

 

ECSDA, Response to the Giovannini Report: Barrier 3, Corporate Actions (June 2005).

 

* ESMA, Discussion Paper, The Distributed Ledger Technology Applied to Securities Markets (ESMA/2016/773, 2 June 2016).

 

FSB, Consultative Document: Application of the Key Attributes of Effective Resolution Regimes to Non-bank Financial Institutions (August 2013).

 

FSB, Consultative Document: Assessment Methodology for the Key Attributes of Effective Resolution Regimes for Financial Institutions (August 2013).

 

FSB, Consultative Document: Standards and Processes for Global Securities Financing Data Collection and Aggregation (November 2014).

 

FSB, Cross-border recognition of resolution action: Consultative Document (September 2014).

 

* FSB, Key Attributes of Effective Resolution Regimes for Financial Institutions (October 2014), (FSB Key Attributes).

 

* FSB, Key Standards for Sound Financial Systems, (FSB Key Standards). 

 

FSB, Narrative Progress Report on Financial Reforms: Report of the Financial Stability Board to G20 Leaders (September 2013).

 

FSB, Principles for Cross-border Effectiveness of Resolution Actions (November 2015).

 

FSB, Recovery and Resolution Planning: Making the Key Attributes Requirements Operational: Consultative Document (November 2012).

 

FSB, Shadow Banking: Strengthening Oversight and Regulation (October 2011).

 

* FSB, Strengthening Oversight and Regulation of Shadow Banking: Policy Framework for Addressing Shadow Banking Risks in Securities Lending and Repos (August 2013), (FSB Shadow Banking Framework).

 

FSB, Strengthening Oversight and Regulation of Shadow Banking: Regulatory Framework for Haircuts on Non-centrally Cleared Securities Financing Transactions (14 October 2014).

 

FSB, Transforming Shadow Banking into Resilient Market-based Finance: An Overview of Progress (November 2015).

 

FSB, Transforming Shadow Banking into Resilient Market-based Finance: Possible Measures of Non-cash Collateral Re-use (February 2016).

 

FSB, Transforming Shadow Banking into Resilient Market-based Finance: Regulatory Framework for Haircuts on Non-centrally Cleared Securities Financing Transactions (November 2015).

 

FSB, Transforming Shadow Banking into Resilient Market-based Finance: Standards and Processes for Global Securities Financing Data Collection and Aggregation (November 2015).

 

* Hague Conference on Private International Law, Convention of 5 July 2006 on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary, https://www.hcch.net/en/instruments/conventions/full-text/?cid=72 (Hague Securities Convention).

 

IMF, ‘The Financial Sector Assessment Program (FSAP)’ (3 November 2017), http://www.imf.org/en/About/Factsheets/Sheets/2016/08/01/16/14/Financial-Sector-Assessment-Program.

 

IMF, Virtual Currencies and Beyond: Initial Considerations (January 2016; SDN/16/03), https://www.imf.org/external/pubs/ft/sdn/2016/sdn1603.pdf.

 

IOSCO, Principles on Client Identification and Beneficial Ownership for the Securities Industry (May 2004), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD167.pdf.

 

IOSCO, Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (May 2012; revised version), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD386.pdf.

 

IOSCO, Objectives and Principles of Securities Regulation (June 2010), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD323.pdf.

 

IOSCO Board, Recommendations Regarding the Protection of Client Assets: Consultation Report (February 2013; CR02/13), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD401.pdf.

 

IOSCO Board, Recommendations Regarding the Protection of Client Assets: Final Report (January 2014; FR01/14), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD436.pdf.

 

IOSCO Technical Committee, Client Asset Protection (August 1996), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD57.pdf.

 

IOSCO Technical Committee, Survey of Regimes for the Protection, Distribution and/or Transfer of Client Assets: Final Report (March 2011; FR05/11), http://www.iosco.org/library/pubdocs/pdf/IOSCOPD351.pdf.

 

OECD, G20 High-level Principles on Financial Consumer Protection (October 2011), http://www.oecd.org/daf/fin/financial-markets/48892010.pdf.

 

* UNCITRAL Legislative Guide on Secured Transactions (2007), http://www.uncitral.org/uncitral/en/uncitral_texts/security/Guide_securedtrans.html.

 

* UNCITRAL, Model Law on Secured Transactions (2016), http://www.uncitral.org/uncitral/en/uncitral_texts/security/2016Model_secured.html.

 

UNCITRAL, Hague Conference, and UNIDROIT, Texts on Security Interests: Comparison and Analysis of Major Features of International Instruments Relating to Secured Transactions (2011), http://www.uncitral.org/uncitral/en/uncitral_texts/security/2011
UNCITRAL_HCCH_Unidroit_texts.html.

 

* UNIDROIT, Principles on the Operation of Close-Out Netting Provisions (2013), https://www.unidroit.org/instruments/capital-markets/netting.

 

* UNIDROIT, The UNIDROIT Convention on Substantive Rules for Intermediated Securities (2009), https://www.unidroit.org/instruments/capital-markets/geneva-convention (Geneva Securities Convention).

 

* UNIDROIT, The System of Declarations under the UNIDROIT Convention on Substantive Rules for Intermediated Securities (“Geneva Securities Convention”): An Explanatory Memorandum for the Assistance of States and Regional Economic Integration Organisations, UNIDROIT 2012 – DC11/DEP/Doc. 1 rev. (April 2012), https://www.unidroit.org/english/documents/2011/depositary/dc11-dep-01rev-e.pdf (Declarations Memorandum).

 

* The World Bank, Doing Business, http://www.doingbusiness.org/.

 

 

II. Scholarly articles and related materials

 

Acharya, V., Adler, B., Richardson, M., and Roubini, N., ‘Resolution Authority’, in Acharya, V., Cooley, T., Richardson, M., and Walter, I., Regulating Wall Street: The Dodd-Frank Act and the New Architecture of Global Finance (Hoboken, New Jersey: Wiley, 2010), 213–40.

 

Acharya, V. and Öncü, S., ‘A Proposal for the Resolution of Systemically Important Assets and Liabilities: The Case of the Repo Market’, International Journal of Central Banking, 9 (2013; Supplement 1), 291–349.

 

Adams, S., Derivatives Exemptions in Bankruptcy and Dodd-Frank: A Structural Analysis (2013), http://dash.harvard.edu/handle/1/10985175.

 

Architzel, P. and Walker, P., CFTC’s Rulemaking on the Segregation of Cleared Swaps: Customer Collateral: LSOC and Beyond (New York City Bar, 3 May 2012).

 

Austen-Peters, A., Custody of Investments: Law and Practice (Oxford: Oxford University Press, 2001).

 

Ayotte, K. and Skeel, D., ‘Bankruptcy or Bailouts?’, The Journal of Corporation Law, 35/3 (2010), 469–98.

 

Baquero-Herrera, M., ‘Legal Certainty and Financial Market Integration: The MILA Case’, Law and Business Review of the Americas, 19 (2013), 487–502.

 

Bates, S. and Gleeson, S., ‘Legal Aspects of Bank Bail-ins’, Law and Financial Markets Review, 5/4 (2011), 264–75.

 

Bazinas, S., ‘The UNCITRAL Legislative Guide on Secured Transactions: Key Objectives and Fundamental Policies’, Uniform Commercial Code Law Journal, 42/2 (2010), 123–55.

 

Bazinas, S., ‘Towards Global Harmonization of Conflict-of-laws Rules in the Area of Secured Financing: the Conflict-of-laws Recommendations of the UNCITRAL Legislative Guide on Secured Transactions’, in The Permanent Bureau of the Hague Conference on Private International Law, A Commitment to Private International Law: Essays in Honour of Hans van Loon (Cambridge: Intersentia, 2013), 1–16.

 

Bazinas, S., Kohn, R., and Del Duca, L., ‘Facilitating a Cost-free Path to Economic Recovery: Implementing a Global Uniform Receivables Financing Law’, Uniform Commercial Code Law Journal, 44/3 (2012), 277–316.

 

Beale, H., Bridge, M., Gullifer, L., and Lomnicka, E., The Law of Security and Title-based Financing (Oxford: Oxford University Press, 2012; 2nd edn).

 

Benjamin, J., Interests in Securities (Oxford: Oxford University Press, 2000).

 

Benjamin, J., Financial Law (Oxford: Oxford University Press, 2007).

 

Benjamin, J., Morton, G., and Raffan, M., ‘The Future of Securities Financing’, Law and Financial Markets Review, 7/1 (2013), 4–8.

 

Bergman, W., Bliss, R., Johnson, C., and Kaufman, G., ‘Netting, Financial Contracts, and Banks: The Economic Implications’, in Kaufman, G. (ed.), Market Discipline in Banking: Theory and Evidence (Amsterdam: Elsevier, 2003).

 

Bernasconi, C. and Keijser, T., ‘The Hague and Geneva Securities Conventions: A Modern and Global Legal Regime for Intermediated Securities’, Uniform Law Review, XVII/3 (2012), 549–60.

 

Birnhak, D., ‘Online Shareholder Meetings: Corporate Law Anomalies or the Future of Governance?’, Rutgers Computer and Technology Law Journal, 29/2 (2003), 423–46.

 

Bliss, R. and Kaufman, G., ‘Derivatives and Systemic Risk: Netting, Collateral, and Closeout’, Journal of Financial Stability, 2 (2006), 55–70.

 

Bloxham, P., Review of the Investment Bank Special Administration Regulations 2011 (United Kingdom: April 2013).

 

Böger, O., ‘Close-out Netting Provisions in Private International Law and International Insolvency Law (Part I)’, Uniform Law Review, XVIII/2 (2013), 232–61.

 

Böger, O., ‘Close-out Netting Provisions in Private International Law and International Insolvency Law (Part II)’, Uniform Law Review, XVIII/3-4 (2013), 532-63.

 

Bolton, P., and Oehmke, M., ‘Should Derivatives Be Privileged in Bankruptcy?’, Journal of Finance, 70/6 (2015), 2353–93.

 

Bonomi, A., Cashin Ritaine, E., and Volders, B., (eds), La loi applicable aux titres intermédiés: La Convention de La Haye du 5 juillet 2006: Une opportunité pour la place financière Suisse? (Schulthess Verlag: Zurich, 2006).

 

Boros, E., ‘Virtual Shareholder Meetings: Who Decides How Companies Make Decisions?’, Melbourne University Law Review, 28 (2004), 265–89.

 

Caballero Germain, G., La adquisición a non domino de valores anotados en cuenta (Madrid: Civitas, 2010).

 

Caballero Germain, G., La custodia en el mercado de valores: de los títulos de crédito a los valores anotados en cuenta (Thomson Reuters, 2016).

 

Chun, C., Cross-border Transactions of Intermediated Securities (Heidelberg, New York, Dordrecht, London: Springer, 2012).

 

Cohan, W., House of Cards: A Tale of Hubris and Wretched Excess on Wall Street (Doubleday, 2009).

 

Combs, V., ‘The Law of Intermediated Securities: U.C.C. Versus UNIDROIT’, Alabama Law Review, 58/2 (2006), 399–415.

 

Conac, P.-H., Segna, U., and Thévenoz, L. (eds), Intermediated Securities: The Impact of the Geneva Securities Convention and the Future European Legislation (Cambridge: Cambridge University Press, 2013).

 

CRMPG III, Containing Systemic Risk: The Road to Reform (August 2008), http://www.crmpolicygroup.org/docs/CRMPG-III.pdf.

 

Crockett, A., ‘Discussion of “A Proposal for the Resolution of Systemically Important Assets and Liabilities: The Case of the Repo Market”’, International Journal of Central Banking, 9 (2013; Supplement 1), 351–7.

 

Davidoff, S. and Zaring, D., ‘Regulation by Deal: The Government’s Response to the Financial Crisis’, Administrative Law Review, 61/3 (2009), 463–541.

 

Deschamps, M., ‘The Security Interest Provisions of the UNIDROIT Convention on Intermediated Securities’, Uniform Law Review, XV/2 (2010), 337–56.

 

Deschamps, M., ‘The Geneva Securities Convention: Selected Issues Left to Law outside the Convention’, Uniform Law Review, XV/3–4 (2010), 703–12.

 

Donald, D., ‘Heart of Darkness: The Problem at the Core of the US Proxy System and Its Solution’, Virginia Law & Business Review, 6/1 (2011), 41–100.

 

Duffie, D. and Skeel, D., ‘A Dialogue on the Costs and Benefits of Automatic Stays for Derivatives and Repurchase Agreements’, in Scott, K. and Taylor, J. (eds), Bankruptcy Not Bailout: A Special Chapter 14 (Stanford, California: Hoover Institution Press, 2012), 133–73.

 

Dupont, P., ‘Rights of the Account Holder Relating to Securities Credited to Its Securities Account’, in Conac, P.-H., Segna, U., and Thévenoz, L. (eds), Intermediated Securities: The Impact of the Geneva Securities Convention and the Future European Legislation (Cambridge: Cambridge University Press, 2013), 90–104.

 

Edwards, F. and Morrison, E., ‘Derivatives and the Bankruptcy Code: Why the Special Treatment?’, Yale Journal on Regulation, 22/1 (2005), 91–122.

 

Eichholz, C., ‘Das Genfer Wertpapierübereinkommen und das deutsche sachenrechtliche Denken im Effektengiroverkehr’, WM Zeitschrift für Wirtschafts- und Bankrecht, 67/6 (2013), 250–5.

 

Einsele, D., ‘Das Haager Übereinkommen über das auf bestimmte Rechte im Zusammenhang mit zwischenverwahrten Wertpapieren anzuwendende Recht’, WM Zeitschrift für Wirtschafts- und Bankrecht, 57/49 (2003), 2349–56.

 

Einsele, D., ‘The Book-entry in a Securities Account: Linchpin of a Harmonised Legal Framework of Securities Held with an Intermediary’, Uniform Law Review, IX/1 (2004), 41–50.

 

Einsele, D., ‘Modernising German Law: Can the UNIDROIT Project on Intermediated Securities Provide Guidance?’, Uniform Law Review, X/1–2 (2005), 251–61.

 

Einsele, D., ‘Security Interests in Financial Instruments’, in Eidenmüller, H. and Kieninger, E.-M. (eds), The Future of Secured Credit in Europe (Munich: De Gruyter Recht, 2008), 350–64.

 

Einsele, D., ‘Intermediär-verwahrte Wertpapiere: Rechtsharmonisierung versus Systemneutralität’, Zeitschrift für das gesamte Handelsrecht und Wirtschaftsrecht, 177/1 (2013), 50–89.

 

Einsele D., Wertpapierrecht als Schuldrecht: Funktionsverlust von Effektenurkunden im internationalen Rechtsverkehr (Tübingen: 1995).

 

Enriques, L., Gargantini, M., and Novembre, V., ‘Mandatory and Contract-based Shareholding Disclosure’, Uniform Law Review, XV/3–4 (2010), 713–42.

 

Euroclear and Oliver Wyman, Blockchain in Capital Markets: The Prize and the Journey (February 2016), https://www.euroclear.com/dam/Brochures/BlockchainInCapitalMarkets-ThePrizeAndThe
Journey.pdf
.

 

Fairfax, L., ‘Virtual Shareholder Meetings Reconsidered’, Seton Hall Law Review, 40 (2010), 1367–432.

 

Faubus, B., ‘Narrowing the Bankruptcy Safe Harbor for Derivatives to Combat Systemic Risk’, Duke Law Journal, 59/4 (2010), 801–42.

 

Ferrarini, G. and Saguato, P., ‘Reforming Securities and Derivatives Trading in the EU: From EMIR to MIFIR’, Journal of Corporate Law Studies, 13/2 (2013), 319–59.

 

Ferrarini, G. and Saguato, P., ‘Regulating Financial Market Infrastructures’, in N. Moloney, E. Ferran and J. Payne (eds), The Oxford Handbook of Financial Regulation (Oxford University Press, 2015), 568-95.

 

Firth, S., Derivatives: Law and Practice (London: Sweet & Maxwell, 2008–2013.

 

Franciosi, L., ‘Commercial Reasonableness in Financial Collateral Contracts: a Comparative Overview’, Uniform Law Review, XVII/3 (2012), 483–95.

 

Garcimartín, F., ‘Disposition and Acquisition of Intermediated Securities: The Geneva Convention and Traditional Property Law’, Uniform Law Review, XV/3–4 (2010), 743–50.

 

Garcimartín, F. (ed.), Estudio sobre los sistemas de registro, compensación y liquidación de valores en Iberoamerica (Instituto Iberoamericano de Mercados de Valores, 2012).

 

Garcimartín, F., ‘The Geneva Convention on Intermediated Securities: A Conflict-of-Laws Approach’, Uniform Law Review, XV/3–4 (2010), 751–77.

 

Garcimartín, F., ‘The Geneva Securities Convention: A Spanish Perspective’, in Conac, P.-H., Segna, U., and Thévenoz, L. (eds), Intermediated Securities: The Impact of the Geneva Securities Convention and the Future European Legislation (Cambridge: Cambridge University Press, 2013), 269–87.

 

Garcimartín, F. and Saez, M., ‘Set-off, Netting and Close-out Netting’, in Haentjens, M. and Wessels, B. (eds), Research Handbook on Crisis Management in the Banking Sector (Edward Elgar Publishing, 2015), 331–44.

 

Garrido, J., ‘The Loss-sharing Rule in the Insolvency of Financial Intermediaries’, Uniform Law Review, XV/3–4 (2010), 779–90.

 

Giacomet, F., ‘Is the Ordinary Treatment of Client Assets in Prime Brokerage Consistent with the Recognition of a Trust upon Insolvency of the Prime Broker?’, Capital Markets Law Journal, 8/2 (2013), 205–23.

 

Gómez-Sancha Trueba, I., ‘Indirect Holdings of Securities and Exercise of Shareholder Rights (a Spanish Perspective)’, Capital Markets Law Journal, 3/1 (2008), 32–57.

 

Goode, R., Kanda, H., Kreuzer, K., with the assistance of Bernasconi, C., Hague Securities Convention: Explanatory Report (The Netherlands: Martinus Nijhoff Publishers, 2005).

 

Graziadei, M., ‘Financial Collateral Arrangements: Directive 2002/47/EC and the Many Faces of Reasonableness’, Uniform Law Review, XVII/3 (2012), 497–506.

 

Grove, R., ‘Valuation in the Context of Derivatives Litigation’, Capital Markets Law Journal, 6/2 (2011), 149–62.

 

Guillaume, F., ‘Conflict of Laws: Preliminary Remarks’, in Kuhn, H., Graham-Siegenthaler, B., and Thévenoz, L., The Federal Intermediated Securities Act (FISA) and the Hague Securities Convention (HSC) (Berne: Stampfli Publishers Ltd, 2010), 1–7.

 

Guillaume, F., ‘Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary’, in Kuhn, H., Graham-Siegenthaler, B., and Thévenoz, L., The Federal Intermediated Securities Act (FISA) and the Hague Securities Convention (HSC) (Berne: Stampfli Publishers Ltd, 2010), 27–111.

 

Gullifer, L. (ed), ‘Interests in Financial Collateral’, in Goode on Legal Problems of Credit and Security (5th edn, Sweet & Maxwell/Thomson Reuters, 2013), ch. 6.

 

Gullifer, L., ‘Ownership of Securities: The Problems Caused by Intermediation’, in Gullifer, L. and Payne, J. (eds), Intermediated Securities: Legal Problems and Practical Issues (Oxford: Hart Publishing, 2010), 1–32.

 

Gullifer, L., ‘What Should We Do about Financial Collateral?’, Current Legal Problems, 65 (2012), 377–410.

 

Gullifer, L. and Payne, J. (eds), Intermediated Securities: Legal Problems and Practical Issues (Oxford: Hart Publishing, 2010).

 

Haentjens, M., Harmonisation of Securities Law: Custody and Transfer in European Private Law (Alphen aan den Rijn: Kluwer Law International, 2007).

 

Haentjens, M. and de Gioia-Carabellese, P., ‘Collateralised finance’, in European Banking and Financial Law (Routledge, 2015), ch. 12.

 

Harris, D., ‘Use of Customer Securities by UK Prime Brokers: The Road Ahead’, Law and Financial Markets Review, 7/2 (2013), 107-11.

 

Hertig, G., Kraakman R., and Rock, E., ‘Issuers and Investor Protection’, in Kraakman, R. et al. (eds), The Anatomy of Corporate Law: A Comparative and Functional Approach (Oxford: Oxford University Press, 2009; 2nd edn), 275–302.

 

Hull, J., Options, Futures, and Other Derivatives (Harlow: Pearson, 2012; 8th edn).

 

Hull, J., Risk Management and Financial Institutions (Hoboken, New Jersey: Wiley, 2012; 3rd edn).

 

Hynes, R. and Watt, S., ‘Why Banks Are Not Allowed in Bankruptcy’, Washington and Lee Law Review, 67/3 (2010), 985–1051.

 

Iglesias-Rodríguez, P., ‘The Regulation of Cross-Border Clearing and Settlement in the European Union from a Legitimacy Perspective’, European Business Organization Law Review, 13/3 (2012), 441–74.

 

Jamroz, M., ‘The Customer Protection Rule’, Business Lawyer, 57/3 (2002), 1069–125.

 

Johansson, E., Property Rights in Investment Securities and the Doctrine of Specificity (Berlin, London: Springer, 2009).

 

Johansson, E., ‘Reuse of Financial Collateral Revisited’, in Gullifer, L. and Payne, J. (eds), Intermediated Securities: Legal Problems and Practical Issues (Oxford: Hart Publishing, 2010), 151–65.

 

Johnson, C., ‘Collateral’, in Ali, P. (ed.), Secured Finance Transactions: Key Assets and Emerging Markets (London: Globe Law and Business, 2007), 57-68.

 

Kahan, M. and Rock, E., ‘The Hanging Chads of Corporate Voting’, The Georgetown Law Journal, 96/4 (2008), 1227–81.

 

Kanda, H., ‘Legal Rules on Indirectly Held Investment Securities: The Japanese Situation, Common Problems, and the UNIDROIT Approach’, Uniform Law Review, X/1–2 (2005), 271–6.

 

Kanda, H., ‘Case No. 19: Supreme Court 7 December 2010, Case No. 2010 kyo 9, Media Exchange Case’, in Bälz, M. et al., Business Law in Japan: Cases and Comments (The Netherlands: Wolters Kluwer, 2012).

 

* Kanda, H., Mooney, C., Thévenoz, L., Béraud, S., assisted by Keijser, T., Official Commentary on the UNIDROIT Convention on Substantive Rules for Intermediated Securities (Oxford: Oxford University Press, 2012), https://global.oup.com/academic/product/official-commentary-on-the-unidroit-convention-on-substantive-rules-for-intermediated-securities-9780199656752?cc=us&lang=en&.

 

Keijser, T., ‘Financial collateral arrangements in the European Union: current state and the way forward’, Uniform Law Review XXII/1 (March 2017), 258-300.

 

Keijser, T., Financial Collateral Arrangements: The European Collateral Directive Considered from a Property and Insolvency Law Perspective (Deventer: Kluwer, 2006; Law of Business and Finance 9).

 

Keijser, T., ‘Non-intermediated Securities: A European View on the Draft UNCITRAL Model Law on Secured Transactions’, European Company Law, 12/1 (2015), 7–12.

 

Keijser, T. (ed.), Report on a Right of Use for Collateral Takers and Custodians (Rome: July 2003).

 

Keijser, T. (ed.), Transnational Securities Law (Oxford: OUP, 2014).

 

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