European Company and Financial Law Texts and Leading Cases,9780199255597

European Company and Financial Law Texts and Leading Cases

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Edition: 3rd
ISBN13: 9780199255597
ISBN10: 0199255598
Format: Hardcover
Pub. Date: 2004-04-08
Publisher(s): Oxford University Press
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Summary

This book is a new edition of a book previously published by de Gruyter. Like the previous editions, this third edition features the full text of every piece of adopted European legislation affecting companies and the financial sector, including directives, regulations, reccommendations and other relevant instruments. It is divided into sections on banking law, capital movement, company law, consumer protection, enterprise law, insurance law and securities regulation. The purpose of this text is to offer an easily accessible, properly organized and updated collection of all European Instruments that have been enacted in the above fields. Both in legal practice and in academia the need often arises to consult European legislation with the knowledge that it is up-to-date and consolidated. This edition is made even more valuable by the inclusion of section-by-section case commentaries on almost all of the relevant European Court of justice cases and many rulings from national courts, thus providing a useful guide to interpretation of the various instruments.

Author Biography


Klaus Hopt is the Director of the Max Planck Institute for Foreign Private and Private International Law in Hamburg, Germany . He has been a Professor in Tuebingen, Florence, Bern, Munich, and a visiting Professor in the University of Pennsylvania, EUI Florence, Paris I / Sorbonne, Kyoto University, Univeriste Libre de Bruxelles, Geneva, Tokyo University, University of Chicago, and New York University. He was a judge at the Court of Appeals of Stuttgart from 1981-1985, and a member of the International Faculty of Corporate and Capital Market Law. He has also been a member of the German Take-over Commission, the Deputation Deutscher Juristentag, the Group of High Level Experts on Company Law, and of the European Commission. He has been an expert for the German Parliament, for various German Ministries, for Bulgaria, and for the World Bank. Eddy Wymeersch is Professor of Commercial Law, University of Ghent, Belgium, where he teaches company law, securities regulation and banking law. He is a consultant to the EC Commission, the World Bank, and the IFC. He is a member of the corporate governance commission of the Brussels Stock Exchange, and Chairman of the Simpler Legislation for the Internal Market working party on the 1st and 2nd directive. He also acts as advisor to the Belgian Government, as a member of the Legislative Branch of the Council of State. He is a member of the Board of the National Bank of Belgium, and the Belgian Corporate Governance Commission. He was Chairman of the Board of Brussels International Airport Company, and adviser on governance issues to several listed Belgian Companies

Table of Contents

Part I. Banking Law
B. 1. Council Directive 73/183/EEC of 28 June 1973 on the abolition of restrictions on freedom of establishment and freedom to provide services in respect of self-employed activities of banks and other financial institutions, OJ L 194, 16 July 1973, 1-10.
1(1)
B. 2. First Council Directive 77/780/EEC of 12 December 1977 on the co-ordination of laws, regulations and administrative provisions relating to the taking up and pursuit of the business of credit institutions, OJ L 322, 17 December 1977, 30.
2(2)
B. 3. Council Directive 83/350/EEC of 13 June 1983 on the supervision of credit institutions on consolidated basis, OJ L 193, 18 July 1983, 18-20.
4(1)
B. 4. Council Directive 85/345/EEC of 8 July 1985 amending Directive 77/780/EEC on the co-ordination of laws, regulations and administrative provisions relating to the taking up and pursuit of the business of credit institutions, OJ L 183, 16 July 1985, 19-20.
5(1)
B. 5. Council Directive 86/137/EEC of 17 April 1986 authorising certain Member States to defer further application of Directive 77/780/EEC as regards certain credit institutions, OJ L 106, 23 April 1986, 35.
6(1)
B. 6. Council Directive 86/524/EEC of 27 October 1986 amending Directive 77/780/EEC in respect of the list of permanent exclusions of certain credit institutions, OJ L 309, 4 November 1986, 15-16.
7(1)
B. 7. Council Directive 86/635/EEC of 8 December 1986 on the annual accounts and consolidated accounts of banks and other financial institutions, OJ L 372, 31 December 1986, 1-17.
8(20)
B. 8. Commission Recommendation 87/62/EEC of 22 December 1986 on monitoring and controlling large exposures of credit institutions, OJ L 33, 4 February 1987, 10-15.
28(1)
B. 9. Commission Recommendation 87/63/EEC of 22 December 1986 concerning the introduction of deposit-guarantee schemes in the Community, OJ L 33, 4 February 1987, 16-17.
29(1)
B. 10. Council Directive 89/117/EEC of 13 February 1989 on the obligations of branches established in a Member State of credit institutions and financial institutions having their head offices outside that Member State regarding the publication of annual accounting documents, OJ L 44, 16 February 1989, 40-42.
30(4)
B. 11. Council Directive 89/299/EEC of 17 April 1989 on the own funds of credit institutions, OJ L 124, 5 May 1989, 16-20.
34(1)
B. 12. Second Council Directive 89/646/EEC of 15 December 1989 on the co-ordination of laws, regulations and administrative provisions relating to the taking up and pursuit of the business of credit institutions and amending Directive 77/780/EEC, OJ L 386, 30 December 1989, 1-13.
35(2)
B. 13. Council Directive 89/647/EEC of 18 December 1989 on a solvency ratio for credit institutions, OJ L 386, 30 December 1989, 14-22.
37(1)
B. 14. Commission Directive 91/31/EEC of 19 December 1990 adapting the technical definition of `multilateral development banks' in Council Directive 89/647/EEC of 18 December 1989 on a solvency ratio for credit institutions, OJ L 17, 23 January 1991, 20.
38(1)
B. 15. Council Directive 91/308/EEC of 10 June 1991 on prevention of use of the financial system for the purpose of money laundering, OJ L 166, 28 June 1991, 77-83.
39(10)
B. 16. Council Directive 91/633/EEC of 3 December 1991 implementing Directive 89/299/EEC on the own funds of credit institutions, OJ L 339, 11 December 1991, 33-34.
49(1)
B. 17. Council Directive 92/16/EEC of 16 March 1992 amending Directive 89/299/EEC on the credit institution's own funds, OJ L 75, 21 March 1992, 48-50.
50(1)
B. 18. Council Directive 92/30/EEC of 6 April 1992 on the supervision of credit institutions on a consolidated basis, OJ L 110, 28 April 1992, 52-58.
51(1)
B. 19. Council Directive 92/121/EEC of 21 December 1992 on the monitoring and control of large exposures of credit institutions, OJ L 29, 5 February 1993, 1-8.
52(1)
B. 20. Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investments firms and credit institutions, OJ L 141, 11 June 1993, 1-26.
53(35)
B. 21. Commission Directive 94/7/EC of 15 March 1994 adapting Council Directive 89/647/EEC on a solvency ratio for credit institutions as regards the technical definition of `multilateral development banks', OJ L 89, 6 April 1994, 17.
88(1)
B. 22. European Parliament and Council Directive 94/19/EC of 30 May 1994 on deposit-guarantee schemes, OJ L 135, 31 May 1994, 5-14.
89(13)
Leading Cases
B. 23. Commission Directive 95/15/EC of 31 May 1995 adapting Council Directive 89/647/EEC on a solvency ratio for credit institutions, as regards the technical definition of `Zone A' and in respect of the weighting of asset items constituting claims carrying the explicit guarantee of the European Communities, OJ L 125, 8 June 1995, 23-24.
102(1)
B. 24. Commission Directive 95/67/EC of 15 December 1995 making a technical amendment to Council Directive 89/647/EEC on a solvency ratio for credit institutions as regards the definition of `multilateral development banks' (Text with EEA relevance), OJ L 314, 28 December 1995, 72.
103(1)
B. 25. Council Directive 96/13/EC of 11 March 1996 amending Article 2 (2) of Directive 77/780/EEC in respect of the list of permanent exclusions of certain credit institutions, OJ L 66, 16 March 1996, 15-16.
104(1)
B. 26. European Parliament and Council Directive 96/10/EC of 21 March 1996 amending Directive 89/647/EEC as regards recognition of contractual netting by the competent authorities, OJ L 85, 3 April 1996, 17-21.
105(1)
B. 27. Commission Interpretative Communication 97/C 209/04 of 10 July 1997 on freedom to provide services and the interest of the general good in the Second Banking Directive, OJ C 209, 10 July 1997, 6-22.
106(20)
B. 28. European Parliament and Council Directive 98/31 /EC of 22 June 1998 amending Council Directive 93/6/EEC on the capital adequacy of investment firms and credit institutions, OJ L 204, 21 July 1998, 13-25.
126(3)
B. 29. European Parliament and Council Directive 98/32/EC of 22 June 1998 amending, as regards in particular mortgages, Council Directive 89/647/EEC on a solvency ratio for credit institutions, OJ L 204, 21 July 1998, 26-28.
129(1)
B. 30. European Parliament and Council Directive 98/33/EC of 22 June 1998 amending Article 12 of Council Directive 77/780/EEC on the taking up and pursuit of the business of credit institutions, Articles 2, 5, 6, 7, 8 of and Annexes II and III to Council Directive 89/647/EEC on a solvency ratio for credit institutions and Article 2 of and Annex II to Council Directive 93/6/EEC on the capital adequacy of investment firms and credit institutions, OJ L 204, 21 July 1998, 29-36.1
130(1)
B. 31. Joint Action 98/699/JHA of 3 December 1998 adopted by the Council on the basis of Article [31]II of the Treaty on European Union, on money laundering, the identification, tracing, freezing, seizing and confiscation of instrumentalities and the proceeds from crime, OJ L 333, 9 December 1998, 1-3.
131(4)
B. 32. European Parliament and Council Directive 2000/12/EC of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions, OJ L 126, 26 May 2000, 1-59.
135(67)
Leading Cases
B. 33. Commission Recommendation 2000/408/EC of 23 June 2000 concerning disclosure of information on financial instruments and other items complementing the disclosure required according to Council Directive 86/635/EEC on the annual accounts and consolidated accounts of banks and other financial institutions (C(2000) 1372), OJ L 154, 27 June 2000, 36-41.
202(7)
B. 34. European Parliament and Council Directive 2000/28/EC of 18 September 2000 amending Directive 2000/12/EC relating to the taking up and pursuit of the business of credit institutions, OJ L 275, 27 October 2000, 37-38.
209(1)
B. 35. European Parliament and Council Directive 2000/46/EC of 18 September 2000 on the taking up, pursuit of and prudential supervision of the business of electronic money institutions, OJ L 275, 27 October 2000, 39-43.
210(6)
B. 36. European Parliament and Council Directive 2001 /24/EC of 4 April 2001 on the reorganisation and winding up of credit institutions, OJ L 125, 5 May 2001, 15-23.
216(13)
Leading Cases
B. 37. European Parliament and Council Directive 2001 /97/EC of 4 December 2001 amending Council Directive 91/308/EEC on prevention of the use of the financial system for the purpose of money laundering, OJ L 344, 28 December 2001, 76-81.
229(4)
B. 38. European Parliament and Council Directive 2002/87/EC of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council, OJ L 35, 11 February 2003, 1-27.
233(23)
Part II. Capital Movement
C.M. 1. EU Treaty: Chapter 4-Capital and Payments
256(8)
Leading Cases
C.M. 2. Council Directive 88/361/EEC of 24 June 1988 for the implementation of Article [67]''A of the Treaty OJ L 178, 8 July 1988, 5-18.
264(13)
Part III. Company Law
C. 1. First Council Directive 68/151/EEC of 9 March 1968 on co-ordination of safeguards which, for the protection of the interests of members and others, are required by Member States of companies within the meaning of the second paragraph of Article [48] of the Treaty, with a view to making such safeguards equivalent throughout the Community, OJ L 65, 14 March 1968, 8-12.
277(7)
Leading Cases
C. 2. Second Council Directive 77/91 /EEC of 13 December 1976 on co-ordination of safeguards which, for the protection of the interests of members and others, are required by Member States of companies within the meaning of the second paragraph of Article [48] of the Treaty, in respect of the formation of public limited liability companies and the maintenance and alteration of their capital, with a view to making such safeguards equivalent, OJ L 26, 31 January 1977, 1-13.
284(19)
Leading Cases
C. 3. Third Council Directive 78/855/EEC of 9 October 1978 based on Article [44] (3) (g) of the Treaty concerning mergers of public limited liability companies, OJ L 295, 20 October 1978, 36-43.
303(9)
C. 4. Fourth Council Directive 78/660/EEC of 25 July 1978 based on Article [44] (3) (g) of the Treaty on the annual accounts of certain types of companies, OJ L 222, 14 August 1978, 11-31.
312(31)
Leading Cases
C. 5. Sixth Council Directive 82/891/EEC of 17 December 1982 based on Article [44] (3) (g) of the Treaty, concerning the division of public limited liability companies, OJ L 378, 31 December 1982, 47-54.
343(9)
C. 6. Seventh Council Directive 83/349/EEC of 13 June 1983 based on the Article [44] (3) (g) of the Treaty on consolidated accounts, OJ L 193, 18 July 1983, 1-17.
352(19)
C. 7. Eighth Council Directive 84/253/EEC of 10 April 1984 based on Article [44] (3) (g) of the Treaty on the approval of persons responsible for carrying out the statutory audits of accounting documents, OJ L 126, 12 May 1984, 20-26.
371(8)
Leading Cases
C. 8. Council Regulation 2137/85/EEC of 25 July 1985 on the European Economic Interest Grouping (EEIG), OJ L 199, 31 July 1985, 1-9.
379(12)
Leading Cases
C. 9. Eleventh Council Directive 89/666/EEC of 21 December 1989 concerning disclosure requirements in respect of branches opened in a Member State by certain types of company governed by the law of another State, OJ L 395, 30 December 1989, 36-39.
391(5)
C. 10. Twelfth Council Directive 89/667/EEC of 21 December 1989 on single-member private limited-liability companies, OJ L 395, 30 December 1989, 40-42.
396(3)
C. 11. Council Directive 90/604/EEC of 8 November 1990 amending Directive 78/660/EEC on annual accounts and Directive 83/349/EEC on consolidated accounts as concerns the exemptions for small and medium-sized companies and the publication of accounts in ecus, OJ L 317, 16 November 1990, 57-59.
399(2)
C. 12. Council Directive 90/605/EEC of 8 November 1990 amending Directive 78/660/EEC on annual accounts and Directive 83/349/EEC on consolidated accounts as regards the scope of those Directives, OJ L 317, 16 November 1990, 60-62.
401(2)
C. 13. Council Directive 92/101/EEC of 23 November 1992 amending Directive 77/91/EEC on the formation of public limited-liability companies and the maintenance and the alteration of their capital, OJ L 347, 28 November 1992, 64-66.
403(2)
C. 14. Council Directive 94/8/EC of 21 March 1994 amending Directive 78/660/EEC as regards the revision of amounts expressed in ecus, OJ L 82, 25 March 1994, 33-34.
405(1)
C. 15. Communication 97/C 285/10 from the Commission. Participation of European Economic Interest Groupings (EEIGs) in public contracts and programmes financed by public funds, OJ C 285, 20 September 1997, 17-24.
406(9)
C. 16. Council Directive 1999/60/EC of 17 June 1999 amending Directive 78/660/EEC as regards amounts expressed in ecus, OJ L 162, 26 June 1999, 65-66.
415(2)
C. 17. Commission Recommendation 2001 /453/EC of 30 May 2001 on the recognition, measurement and disclosure of environmental issues in the annual accounts and annual reports of companies (C(2001)1495), OJ L 156, 13 June 2001, 33-42.
417(12)
C. 18. European Parliament and Council Directive 2001/65/EC of 27 September 2001 amending Directives 78/660/EEC, 83/349/EEC and86/635/EEC as regards the valuation rules for the annual and consolidated accounts of certain types of companies as well as of banks and other financial institutions, OJ L 283, 27 October 2001, 28-32.
429(3)
C. 19. Council Regulation 215 /2001 /EC of 8 October 2001 on the statute for a European Company (SE), OJ L 294, 10 November 2001, 1-21.
432(23)
C. 20. Council Directive 2001/86/ EC of 8 October 2001 supplementing the Statute for a European company with regard to the involvement of employees, OJ L 294, 10 November 200 I , 22-32.
455(12)
C. 21. Commission Recommendation 2002/590/EC of 16 May 2002, Statutory Auditors' Independence in the EU: A Set of Fundamental Principles (C(2002)1873), OJ L 191, 19 July 2002, 22-57.
467(41)
C. 22. European Parliament and Council Regulation 1606/2002/EC of 19 July 2002 on the application of international accounting standards, OJ L 243, 11 September 2002, 1-4.
508(5)
Part IV. Consumer Protection especially related to Financial Transactions
C.P. 1. Council Directive 84/450/EEC of 10 September 1984 concerning misleading and comparative advertising, OJ L 250, 19 September 1984, 17-20.
513(7)
Leading Cases
C.P. 2. Council Directive 85/374/EEC of 25 July 1985 on the approximation of the laws, regulations and administrative provisions of the Member States concerning liability for defective products, OJ L 210, 7 August 1985, 29-33.
520(7)
Leading Cases
C.P. 3. Council Directive 85/577/EEC of 20 December 1985 to protect the consumer in respect of contracts negotiated away from business premises, OJ L 372, 31 December 1985, 31-33.
527(7)
Leading Cases
C.P. 4. Council Directive 87/102/EEC of 22 December 1986 for the approximation of the laws, regulations and administrative provisions of the Member States concerning consumer credit, OJ L 42, 12 February 1987, 48-53.
534(12)
Leading Cases
C.P. 5. Commission Recommendation 87/598/EEC of 8 December 1987 on a European code of conduct relating to electronic payment (Relations between financial institutions, traders and service establishments, and consumers), OJ L 365, 24 December 1987, 72-76.
546(4)
C.P. 6. Commission Recommendation 88/590/EEC of 17 November 1988 concerning payment systems, and in particular the relationship between cardholder and card issuer, OJ L 317, 24 November 1988, 55-58.
550(5)
C.P. 7. Commission Recommendation 90/109/EEC of 14 February 1990 on the transparency of banking conditions relating to cross-border financial transactions, OJ L 67, 15 March 1990, 39-42.
555(4)
C.P. 8. Council Directive 90/88/EEC of 22 February 1990 amending Directive 87/102/EEC for the approximation of the laws, regulations and administrative provisions of the Member States concerning consumer credit, OJ L 61, 10 March 1990, 14-18.
559(1)
C.P. 9. Council Directive 93/13/EEC of 5 April 1993 on unfair terms in consumer contracts, OJ L 95, 21 April 1993, 29-34.
560(7)
Leading Cases
C.P. 10. European Parliament and Council Directive 97/5/EC of 27 January 1997 on cross-border credit transfers, OJ L 43, 14 February 1997, 25-31.
567(7)
C.P. 11. European Parliament and Council Directive 97/7/EC of 20 May 1997 on the protection of consumers in respect of distance contracts, first indent, OJ L 144, 4 June 1997, 19-28.
574(9)
C.P. 12. Commission Recommendation 97/489/EC of 30 July 1997 concerning transactions by electronic payment instruments and in particular the relationship between issuer and holder, OJ L 208, 2 August 1997, 52-58.
583(6)
C.P. 13. European Parliament and Council Directive 97/55/EC of 6 October 1997 amending Directive 84/450/EEC concerning misleading advertising so as to include comparative advertising, OJ L 290, 23 October 1997, 18-23.
589(4)
C.P. 14. European Parliament and Council Directive 98/7/EC of 16 February 1998 amending Directive 87/102/EEC for the approximation of the laws, regulations and administrative provisions of the Member States concerning consumer credit, OJ L 101, 1 April 1998, 17-23.
593(2)
C.P. 15. European Parliament and Council Directive 98/27/EC of 19 May 1998 on injunctions for the protection of consumers' interests, OJ L 166, 11 June 1998, 51-55.
595(5)
C.P. 16. European Parliament and Council Directive 1999/34/EC of 10 May 1999 amending Council Directive 85/374/EEC on the approximation of the laws, regulations and administrative provisions of the Member States concerning liability for defective products, OJ L 141, 4 June 1999, 20-21.
600(2)
C.P. 17. European Parliament and Council Directive 1999/44/EC of 25 May 1999 on certain aspects of the sale of consumer goods and associated guarantees, OJ L 171, 7 July 1999, 12-16.
602(7)
C.P. 18. European Parliament and Council Directive 1999/93/EC of 13 December 1999 on a Community framework for electronic signatures, OJ L 13, 19 January 2000, 12-20.
609(10)
C.P. 19. European Parliament and Council Directive 2000/31/EC of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (Directive on electronic commerce), OJ L 178, 17 July 2000, 1-16.
619(19)
C.P. 20. Commission Recommendation 2001/193/EC of 1 March 2001 on pre-contractual information to be given to consumers by lenders offering home loans (C(2001) 477), OJ L 69, 10 March 2001, 25-29.
638(5)
C.P. 21. European Parliament and Council Regulation 2560/2001/EC of 19 December 2001 on cross-border payments in euro, OJ L 344, 28 December 2001, 13-16.
643(5)
C.P. 22. European Parliament and Council Directive 2002/65/EC of 23 September 2002 concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC, OJ L 271, 9 October 2002, 16-24.
648(12)
Part V. Enterprise Law
E. 1. Council Directive 75/129/EEC of 17 February 1975 on the approximation of the laws of the Member States relating to collective redundancies, OJ L 48, 22 February 1975, 29-30.
660(1)
E. 2. Council Directive 77/187/EEC of 14 February 1977 on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses, OJ L 61, 5 March 1977, 26.
661(1)
E. 3. Council Directive 80/987/EEC of 20 October 1980 to the protection of employees in the event of the insolvency of their employer, OJ L 283, 28 November 1980, 23-27.
662(10)
Leading Cases
E. 4. Council Directive 92/56/EEC of 24 June 1992 amending Directive 75/129/EEC on the approximation of the laws of the Member States relating to collective redundancies, OJ L 245, 26 August 1992, 3-5.
672(1)
E. 5. Council Directive 94/45/EC of 22 September 1994 on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees, OJ L 254, 30 September 1994, 64-72.
673(12)
Leading Cases
E. 6. Council Directive 97/74/EC of 15 December 1997 extending, to the United Kingdom of Great Britain and Northern Ireland, Directive 94/45/EC on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees, OJ L 10, 16 January 1998, 22-23.
685(2)
E. 7. Council Directive 98/50/EC of 29 June 1998 amending Directive 77/187/EEC on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of businesses, OJ L 201, 17 July 1998, 88-92.
687(2)
E. 8. Council Directive 98/59/EC of 20 July 1998 on the approximation of the laws of the Member States relating to collective redundancies, OJ L 225, 12 August 1998, 16-21.
689(8)
Leading Cases
E. 9. Council Regulation 1346/2000/EC of 29 May 2000 on insolvency proceedings, OJ L 160, 30 June 2000, 1-18.
697(18)
E. 10. European Parliament and Council Directive 2000/35/EC of 29 June 2000 on combating late payment in commercial transactions, OJ L 200, 8 August 2000, 35-38.
715(6)
E. 11. Council Directive 2001/23/EC of 12 March 2001 on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses, OJ L 82, 22 March 2001, 16-20.
721(18)
Leading Cases
E. 12. European Parliament and Council Directive 2002/14/EC of 11 March 2002 establishing a general framework for informing and consulting employees in the European Community, OJ L 80, 23 March 2002, 29-33.
739(7)
E. 13. European Parliament and Council Directive 2002/74/EC of 23 September 2002 amending Council Directive 80/987/EEC on the approximation of the laws of the Member States relating to the protection of employees in the event of the insolvency of their employer, OJ L 270, 8 October 2002, 10-13.
746(3)
Part VI. Insurance Law
I. 1. Council Directive 64/225/EEC of 25 February 1964 on the abolition of restrictions on freedom of establishment and freedom to provide services in respect of reinsurance and retrocession, OJ L 56, 4 April 1964, 878-880.
749(3)
I. 2. Council Directive 72/166/EEC of 24 April 1972 on the approximation of the laws of Member States relating to insurance against civil liability in respect of the use of motor vehicles, and to the enforcement of the obligation to insure against such liability, OJ L 103, 2 May 1972, 1-4.
752(7)
Leading Cases
I. 3. Council Directive 73/239/EEC of 24 July 1973 on the co-ordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct insurance other than life assurance (First non-life insurance Directive), OJ L 228, 16 August 1973, 3-19.
759(32)
Leading Cases
I. 4. Council Directive 73/240/EEC of 24 July 1973 abolishing restrictions on freedom of establishment in the business of direct insurance other than life assurance, OJ L 228, 16 August 1973, 20-22.
791(3)
I. 5. Commission Recommendation 74/165/EEC of 6 February 1974 to the Member States concerning the application of the Council Directive of 24 April 1972 on the approximation of the laws of the Member States relating to the use of motor vehicles, and to the enforcement of the obligation to insure against such liability, OJ L 87, 30 March 1974, 12.
794(1)
I. 6. Council Directive 76/580/EEC of 29 June 1976 amending Directive 73/239/EEC on the co-ordination of laws, regulations and administrative provisions relating to the taking up and pursuit of the business of direct insurance other than life assurance, OJ L 189, 13 July 1976, 13-14.
795(1)
I. 7. Council Directive 77/92/EEC of 13 December 1976 on measures to facilitate the effective exercise of freedom of establishment and freedom to provide services in respect of the activities of insurance agents and brokers (ex ISIC Group 630) and, in particular, transitional measures in respect of those activities, OJ L 26, 31 January 1977, 14-19.
796(7)
I. 8. Council Directive 78/473/EEC of 30 May 1978 on the co-ordination of laws, regulations and administrative provisions relating to Community co-insurance, OJ L 151, 7 June 1978, 25-28.
803(4)
Leading Cases
I. 9. Council Directive 79/267/EEC of 5 March 1979 on the co-ordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct life assurance (First life assurance Directive), OJ L 63, 13 March 1979, 1-18.
807(30)
Leading Cases
I. 10. Commission Recommendation 81/76/EEC of 8 January 1981 on accelerated settlement of claims under insurance against civil liability in respect of the use of motor vehicles, OJ L 57, 4 March 1981, 27.
837(1)
I. 11. Council Directive 84/5/EEC of 30 December 1983 on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles (Second motor insurance Directive), OJ L 8, 11 January 1984, 17-20.
838(5)
Leading Cases
I. 12. Council Directive 84/641/EEC of 10 December 1984 amending, particularly as regards tourist assistance, the First Directive 73/239/EEC on the co-ordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct insurance other than life assurance, OJ L 339, 27 December 1984, 21-25.
843(3)
I. 13. Council Directive 87/343/EEC of 22 June 1987 amending, as regards credit insurance and suretyship insurance, First Directive 73/239/EEC on the co-ordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct insurance other than life assurance, OJ L 185, 4 July 1987, 72-76.
846(2)
Leading Cases
I. 14. Council Directive 87/344/EEC of 22 June 1987 on the co-ordination of laws, regulations and administrative provisions relating to legal expenses insurance, OJ L 185, 4 July 1987, 77-80.
848(5)
I. 15. Council Directive 88/357/EEC of 22 June 1988 on the co-ordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance and laying down provisions to facilitate the effective exercise of freedom to provide services and amending Directive 73/239/EEC (Second non-life insurance Directive), OJ L 172, 4 July 1988, 1-14.
853(12)
Leading Cases
I. 16. Council Directive 90/232/EEC of 14 May 1990 on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles (Third motor insurance Directive), OJ L 129, 19 May 1990, 33-36.
865(3)
I. 17. Council Directive 90/618/EEC of 8 November 1990 amending, particularly as regards motor vehicle liability insurance, Directive 73/239/EEC and Directive 88/357/EEC which concern the co-ordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance, OJ L 330, 29 November 1990, 44-49.
868(4)
I. 18. Council Directive 90/619/EEC of 8 November 1990 on the co-ordination of laws, regulations and administrative provisions relating to direct life assurance, laying down provisions to facilitate the effective exercise of freedom to provide services and amending Directive 79/267/EEC (Second life assurance Directive), OJ L 330, 29 November 1990, 50-61.
872(8)
I. 19. Commission Decision 91/323/EEC of 30 May 1991 relating to the application of Council Directive 72/166/EEC on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles and to the enforcement of the Aligation to insure against such liability, OJ L 177, 5 July 1991, 25-36.
880(10)
I. 20. Council Regulation 1534/91 /EEC of 31 May 1991 on the application of Article [81(3)]I of the Treaty to certain categories of agreements, decisions and concerted practices in the insurance sector, OJ L 143, 7 June 1991, 1-3.
890(4)
I. 21. Council Regulation 2155/91/EEC of 20 June 1991 laying down particular provisions for the application of Articles 37, 39 and 40 of the Agreement between the European Economic Community and the Swiss Confederation on direct insurance other than life insurance, OJ L 205, 27 July 1991, 1.
894(1)
I. 22. Council Directive 91/371/EEC of 20 June 1991 on the implementation of the Agreement between the European Economic Community and the Swiss Confederation concerning direct insurance other than life insurance, OJ L 205, 27 July 1991, 48.
895(1)
I. 23. Commission Recommendation 92/48/EEC of 18 December 1991 on insurance intermediaries, OJ L 19, 28 January 1992, 32-33.
896(3)
I. 24. Council Directive 91/674/EEC of 19 December 1991 on the annual accounts and consolidated accounts of insurance undertakings, OJ L 374, 31 December 1991, 7-31.
899(27)
I. 25. Council Directive 91/675/EEC of 19 December 1991 setting up an insurance committee, OJ L 374, 31 December 1991, 32-33.
926(2)
I. 26. Council Directive 92/49/EEC of 18 June 1992 on the co-ordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance and amending Directives 73/239/EEC and 88/357/EEC (Third non-life insurance Directive), OJ L 228, 11 August 1992, 1-23.
928(22)
Leading Cases
I. 27. Council Directive 92/96/EEC of 10 November 1992 on the co-ordination of laws, regulations and administrative provisions relating to direct life assurance and amending Directives 79/267/EEC and 90/619/EEC (Third life assurance Directive), OJ L 360, 9 December 1992, 1-27.
950(23)
Leading Cases
I. 28. Commission Decision 93/43/EEC of 21 December 1992 relating to the application of Council Directive 72/166/EEC on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles and to the enforcement of the obligation to insure against such liability, OJ L 16, 25 January 1993, 51-52.
973(2)
I. 29. European Parliament and Council Directive 95/26/EC of 29 June 1995 amending Directives 77/780/EEC and 89/646/EEC in the field of credit institutions, Directives 73/239/EEC and 92/49/EEC in the field of non-life insurance, Directives 79/267/EEC and 92/96/EEC in the field of life assurance, Directive 93/22/EEC in the field of investment firms and Directive 85/611/EEC in the field of undertakings for collective investment in transferable securities (UCITS), with a view to reinforcing prudential supervision, OJ L 168, 18 July 1995, 7-13.
975(4)
I. 30. Commission Decision 97/828/EC of 27 October 1997 relating to the application of Council Directive 72/166/EEC on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles, and to the enforcement of the obligation to insure against such liability, OJ L 343, 13 January 1997, 25-26.
979(2)
I. 31. European Parliament and Council Directive 98/78/EC of 27 October 1998 on the supplementary supervision of insurance undertakings in an insurance group, OJ L 330, 5 December 1998, 1-12.
981(14)
I. 32. Commission Decision 1999/103/EC of 26 January 1999 relating to the application of Council Directive 72/166/EEC on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles and to the enforcement of the obligation to insure against such liability (C(1999) 109), OJ L 33, 6 February 1999, 25-26.
995(2)
I. 33. Commission Interpretative Communication 2000/C 43/03 on freedom to provide services and the general good in the insurance sector, OJ C 43, 16 February 2000, 5-7.
997(30)
I. 34. European Parliament and Council Directive 2000/26/EC of 16 May 2000 on the approximation of the laws of the Member States relating to insurance against civil liability in respect of the use of motor vehicles and amending Council Directives 73/239/EEC and 88/357/EEC (Fourth motor insurance Directive), OJ L 181, 20 July 2000, 65-74.
1027(10)
I. 35. European Parliament and Council Directive 2002/12/EC of 5 March 2002 amending Council Directive 79/267/EEC as regards the solvency margin requirements for life assurance undertakings, OJ L 77, 20 March 2002, 11-16.
1037(3)
I. 36. European Parliament and Council Directive 2002/13/EC of 5 March 2002 amending Council Directive 73/239/EEC as regards the solvency margin requirements for non-life insurance undertakings, OJ L 77, 20 March 2002, 17-22.
1040(3)
I. 37. European Parliament and Council Directive 2002/83/EC of 5 November 2002 concerning life assurance, OJ L 345, 19 December 2002, 1-51.
1043(57)
I. 38. European Parliament and Council Directive 2002/92/EC of 9 December 2002 on insurance mediation, OJ L 9, 15 January 2003, 3-10.
1100(11)
Part VII. Securities Regulation
S. 1. Commission Recommendation 77/534/EEC of 25 July 1977 concerning a European code of conduct relating to transactions in transferable securities, OJ L 212, 20 August 1977, 37-43.
1111(8)
S. 2. Council Directive 79/279/EEC of 5 March 1979 co-ordinating the conditions for the admission of securities to official stock exchange listing, OJ L 66, 16 March 1979, 21-32.
1119(3)
S. 3. Council Directive 80/390/EEC of 17 March 1980 co-ordinating the requirements for the drawing up, scrutiny and distribution of the listing particulars to be published for the admission of securities to official stock exchange listing, OJ L 100, 17 April 1980, 1-26.
1122(5)
S. 4. Council Directive 82/121/EEC of 15 February 1982 on information to be published on a regular basis by companies the shares of which have been admitted to official stock-exchange listing, OJ L 48, 20 February 1982, 26-29.
1127(1)
S. 5. Council Directive 82/148/EEC of 3 March 1982 amending Directive 79/279/EEC co-ordinating the conditions for the admission of securities to official stock exchange listing and Directive 80/390/EEC co-ordinating the requirements for the drawing up, scrutiny and distribution of the listing particulars to be published for the admission of securities to official stock exchange listing, OJ L 62, 5 March 1982, 22-23.
1128(1)
S. 6. Council Directive 85/611/EEC of 20 December 1985 on the co-ordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS), OJ L 375, 31 December 1985, 3-18.
1129(39)
S. 7. Council Recommendation 85/612/EEC of 20 December 1985 concerning the second subparagraph of Article 25(1) of Directive 85/611/EEC, OJ L 375, 31 December 1985, 19.
1168(1)
S. 8. Council Directive 87/345/EEC of 22 June 1987 amending Directive 80/390/EEC co-ordinating the requirements for the drawing-up, scrutiny and distribution of the listing particulars to be published for the admission of securities to official stock exchange listing, OJ L 185, 4 July 1987, 81-83.
1169
S. 9. Council Directive 88/220/EEC of 22 March 1988 amending, as regards the investment policies of certain UCITS, Directive 85/611 /EEC on the co-ordination of laws, regulations and administrative provisions relating to undertakings for collective investments in transferable securities (UCITS), OJ L 100, 19 April 1988, 31-32.
171(1001)
S. 10. Council Directive 88/627/EEC of 12 December 1988 on the information to be published when a major holding in a listed company is acquired or disposed of, OJ L 348, 17 December 1988, 62-65Y
1172(2)
S. 11. Council Directive 89/298/EEC of 17 April 1989 co-ordinating the requirements for the drawing-up, scrutiny and distribution of the prospectus to be published when transferable securities are offered to the public, OJ L 124, 5 May 1989, 8-15.
1174(11)
S. 12. Council Directive 89/592/EEC of 13 November 1989 co-ordinating regulations on insider dealing, OJ L 334, 18 November 1989, 30-32.
1185(5)
Leading Cases
S. 13. Council Directive 90/211 /EEC of 23 April 1990 amending Directive 80/390/EEC in respect of the mutual recognition of public-offer prospectuses as stock-exchange listing particulars, OJ L 112, 3 May 1990, 24-25.
1190(1)
S. 14. Council Directive 93/22/EEC of 10 May 1993 on investment services in the securities field, OJ L 141, 11 June 1993, 27-46.
1191(29)
Leading Cases
S. 15. European Parliament and Council Directive 94/18/EC of 30 May 1994 amending Directive 80/390/EEC co-ordinating the requirements for the drawing up, scrutiny and distribution of the listing particulars to be published for the admission of securities to official stock-exchange listing, with regard to the obligation to publish listing particulars, OJ L 135, 31 May 1994, 1-4.
1220(3)
S. 16. European Parliament and Council Directive 97/9/EC of 3 March 1997 on investor-compensation schemes, OJ L 84, 26 March 1997, 22-31.
1223(11)
S. 17. European Parliament and Council Directive 98/26/EC of 19 May 1998 on settlement finality in payment and securities settlement systems, OJ L 166, 11 June 1998, 45-50.
1234(7)
S. 18. European Parliament and Council Directive 2001 /34/EC of 28 May 2001 on the admission of securities to official stock exchange listing and on information to be published on those securities, OJ L 184, 7 June 2001, 1-66.
1241(63)
S. 19. Commission Decision 2001/527/EC of 6 June 2001 establishing the Committee of European Securities Regulators (C(2001) 1501), OJ L 191, 13 July 2001, 43-44.
1304(2)
S. 20. Commission Decision 2001/528/EC of 6 June 2001 establishing the European Securities Committee (C(2001) 1493), OJ L 191, 13 July 2001, 45-46.
1306(2)
S. 21. European Parliament and Council Directive 2001/107/EC of21 January 2002 amending Council Directive 85/611/EEC on the co-ordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) with a view to regulating management companies and simplified prospectuses, OJ L 41, 13 February 2002, 20-34.
1308(4)
S. 22. European Parliament and Council Directive 2001/108/EC of 21 January 2002 amending Council Directive 85/611/EEC on the co-ordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS),with regard to investments of UCITS, OJ L 41, 13 February 2002, 35-42.
1312(4)
S. 23. European Parliament and Council Directive 2002/47/EC of 6 June 2002 on financial collateral arrangements, OJ L 168, 27 June 2002, 43-50.
1316(11)
S. 24. European Parliament and Council Directive 2003/6/EC of 28 January 2003 on insider dealing and market manipulation (market abuse), OJ L 96, 12 April 2003, 16-25.
1327(14)
S. 25. Directive 2003/71/EC of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading and amending Directive 2001/34/EC, OJ L 345, 31 December 2003, 64.
1341(31)
Chronological List of Directives 1372(13)
Alphabetical List of Cases 1385(7)
Chronological List of Cases 1392(7)
Correlation Table EU-Treaty-Treaty of Amsterdam 1399
0762730757
Foreword vii
Acknowledgments ix
Introduction: WHY BASEBALL MATTERS xiii
PART I Inside Baseball 1(8)
Chapter 1 WE'VE GOT TO THINK ABOUT THE GAME
3(6)
PART II It All Begins with a Pitch 9(40)
Chapter 2 PITCHERS
11(14)
Chapter 3 PITCHES
25(16)
Chapter 4 PITCHING STRATEGIES
41(8)
PART III The Batter Swings! 49(62)
Chapter 5 THE PRIMARY SKILL
51(18)
Chapter 6 HITTING IT WHERE THEY AIN'T
69(12)
Chapter 7 HITTERS COUNTS
81(12)
Chapter 8 BUNT, SQUEEZE, AND HIT-AND-RUN
93(12)
Chapter 9 PINCH HITTERS, DHs, AND BP
105(6)
PART IV Around the Horn 111(78)
Chapter 10 THE INFIELD
113(18)
Chapter 11 DEFENSIVE STRATEGIES IN THE INFIELD
131
Chapter 12 THE FIRST BASEMAN
39(108)
Chapter 13 THE SECOND BASEMAN
147(10)
Chapter 14 THE SHORTSTOP
157(6)
Chapter 15 THE THIRD BASEMAN
163(6)
Chapter 16 PITCHERS AS INFIELDERS
169(6)
Chapter 17 CATCHERS
175(14)
PART V Against the Wall. 189(18)
Chapter 18 THE OUTFIELD
191(16)
PART VI On the Basepaths 207(18)
Chapter 19 RUNNING THE BASES
209(16)
PART VII The Fields of Dreams 225(12)
Chapter 20 LOOKING AROUND THE PARK
227(10)
PART VIII They're Only Human 237(56)
Chapter 21 THE MENTAL SIDE OF THE GAME
239(20)
Chapter 22 SLUMPS, STREAKS, AND ERRORS
259(10)
Chapter 23 COMING UP TO THE BIGS
269(12)
Chapter 24 LINEUPS, SUBSTITUTIONS, AND THE BENCH
281(12)
PART IX The Bosses 293(38)
Chapter 25 MANAGERS
295(14)
Chapter 26 COACHES AND TRAINERS
309(12)
Chapter 27 THE FRONT OFFICE
321(10)
PART X In My Humble Opinion 331(18)
Chapter 28 CAN A TEAM BE CURSED?
333(6)
Chapter 29 DAYS OF MY BASEBALL LIFE
339(10)
APPENDIX Jerry Remy 349(4)
Index 353(15)
About the Authors 368

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