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Author: Ion Iova Degree: doctor of law Speciality:  12.00.02 - Public Law (with specification: Constitutional, Administrative, Police, Military, Financial, Customs, Information, Ecological); Organization and Functioning of Law Institutions Year: 2007 Scientific adviser: Andrei Guştiuc doctor, associate professor (docent) Institution: Scientific council:

Status The thesis was presented on the 26 April, 2007 Approved by NCAA on the 14 June, 2007 Abstract – 0.57 Mb / in romanian Thesis CZU 347.73 (043.3) 1.09 Mb / in romanian 226 pages

Keywords

Summary

This work is dedicated to a fundamental subject of the capital market, namely regulation and control of the stock market by the central state body, authorized to perform such activity. Credibility is this scientific research is ensured by fulfillment of analysis of the compared law and practice of legal and administrative regulation of the capital market.

Topicality of the research subject also arises from the main goal presently set before the science of law for purpose of resolution of the issue of effective regulation of the capital market.

This paper contains a synthesis of theoretical and practical and applied issues, and lays out some the freshest ideas related to legal and administrative regulation of the stock market.

This paper contains an attempt to enlighten some existing problems in qualification of the capital market control function by various regulatory bodies in the territory of the Union and the U.S., and in particular by the National Securities Board, in the Republic of Moldova and Romania.

Creation of a relatively perfect system for regulation and control of the capital market by competent authorities allows establishing some exact rules of activity for all professional participants of the capital market and eventually it will revitalize the stock market and allow to bring foreign investments to the Republic of Moldova and Romania.

In this context, this work describes such notions as: National Securities Board, regulation, control, deregulation, mega-regulator, stock market, European capital market, directives of the European Union, etc.

The main idea reflected in the contents of this work is that the National Securities Board in the Republic of Moldova and Romania has a decisive role in regulation and control of the securities market, while this issue contains some reservations. As for the Republic of Moldova, this work contains an examination and a research from the scientific point of view of the utility of creation of a single mega-regulatory body for regulation of financial market and capital markets. The subject is the so-called “mega-regulator”.

Explanation of the legal content of these particularities uses a number of specialized sources in the Republic of Moldova, Romania, European Union and the U.S.

This paper contains a number of conclusions dedicated to improvement of the situation in the capital market. Taking into consideration integration into the European Union also attended by the Republic of Moldova, NSB must come up with proposal to change the legislation on capital market to another one of an apparent European nature.

In general, conclusions made in the final part of this work are related to interpretation and legislation as well.

Results of this work can be used for any possible changes in the legislation, and a study material for specialists in law, including non-lawyers, operating in the securities market.

Oficial Reviewers

• Alexandru Armeanic
  doctor, associate professor (docent), Institute of History of the ASM
• Mihail Bârgău
  doctor habilitat, professor

 Theses

Under consideration [2] :

• Parliamentary responsibility under the conditions of the contemporary rule of law
  19 March, 2021
• Constitutional guarantees of the right to a fair trial
  31 July, 2020

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