The SEC and BaFin - US and German Capital Market Supervision in Comparision

Inhaltsverzeichnis (Table of Contents)

• Abbreviations
• Bibliography
• Outline
• The SEC and BaFin – German and US capital market supervision in comparison.
• Index
• List of charts

Zielsetzung und Themenschwerpunkte (Objectives and Key Themes)

This dissertation aims to compare the regulatory frameworks of the U.S. Securities and Exchange Commission (SEC) and the German Federal Financial Supervisory Authority (BaFin) within the context of capital market supervision. The study focuses on identifying similarities and differences between these two institutions, analyzing their approaches to regulating capital markets, and exploring the effectiveness of their respective regulatory systems.

• Comparison of institutional structures and mandates of the SEC and BaFin
• Analysis of regulatory tools and approaches used by both agencies
• Assessment of the effectiveness of regulatory systems in the US and Germany
• Examination of the impact of international cooperation and convergence on capital market regulation
• Exploration of future challenges and trends in capital market supervision

Zusammenfassung der Kapitel (Chapter Summaries)

This section provides a summary of each chapter, excluding the conclusion and final chapter, to avoid spoilers.