Consob Regulations and Rulings: Stay Informed with Legal Insights
Explore a curated collection of articles and rulings on Consob, the Italian financial regulatory authority. Stay informed on the latest legal developments and expert analysis in the field of financial regulation.
Commentary on ruling no. 21397 of 2024: Financial intermediation and joint liability.
Let’s analyze the recent order no. 21397 of July 30, 2024, which clarifies the limits of application of administrative sanctions in the context of financial intermediation, highlighting the importance of substantive law and its impact on violations that occurred prior to the entry into force of the new provisions.
Commentary on Judgment No. 20949 of 2024: Consob Sanctions and Retroactivity of Lex Mitior.
Analysis of ruling no. 20949 of 2024 concerning the punitive nature of Consob sanctions and the applicability of the principle of retroactivity of the lex mitior, with references to Italian and European regulations.
Analysis of Ordinance Judgment No. 10922 of 2024: Procedural Flaws and Administrative Sanctions
An in-depth analysis of the defects in the administrative procedure regarding financial intermediation, in light of the recent ruling by the Court of Cassation.
The expulsion from the register for financial advisors: commentary on Ordinance No. 10341 of 2024.
Let's analyze the important Order No. 10341 of 2024, which clarifies the disciplinary consequences for financial advisors authorized to offer off-site services who violate Consob regulations, highlighting the legal principles and applicable sanctions.
Reflections on Judgment No. 10228 of 2024: Administrative Sanctions and Distinct Proceedings.
The recent ruling of the Court of Cassation clarifies fundamental aspects regarding the consolidation of sanctioning proceedings, highlighting the optional nature of such consolidation and its legal implications.
Commentary on the Ordinance Judgment No. 10212 of 2024: The Rationale behind Consob Sanctions.
Let’s analyze the recent Order No. 10212 of 2024, which clarifies the reasoning behind administrative sanctions by Consob, highlighting the importance of transparency and the right to access public documents.
Liability of Consob: ruling no. 9067 of 2018 and the duty of supervision.
The Court of Cassation, with ruling no. 9067 of 2018, clarifies the responsibility of Consob for lack of oversight and the causal link with the damages suffered by investors, analyzing the powers and duties of the regulatory authority.