Professor Konstantinos Sergakis

  • Professor of Capital Markets Law and Corporate Governance (Law)

Biography

Konstantinos Sergakis is Professor of Capital Markets Law and Corporate Governance at the University of Glasgow. He acts as the Postgraduate Teaching Director, having previously convened the LLM in Corporate & Financial Law and acted as School Director for Internationalisation. He holds an LL.B from the National and Kapodistrian University of Athens, an LLM in International Business Law from University College London and a PhD from the University Paris 1 Panthéon-Sorbonne.

Professor Sergakis is a Member (Alternate) of the Joint Board of Appeal of the European Supervisory Authorities (EBA, EIOPA, ESMA). He was appointed to this position in 2021 by the European Insurance and Occupational Pensions Authority (EIOPA) for a five year mandate. The Board is responsible for deciding on appeals against certain decisions of the three Authorities and its decisions can themselves be appealed to the Court of Justice of the European Union.

Professor Sergakis serves as Chairperson of the BPP Oversight Committee (BPP OC), the proxy advisors’ global industry group. His role is to provide, together with the other Committee members (listed company and institutional investor representatives) an annual independent review of the monitoring of the Best Practice Principles and an annual independent review of the public reporting of each BPP Signatory. He also provides guidance and advice to the BPP Group with respect to the operation and development of the Principles and liaises globally with regulators representing the BPP OC. 

He has also served as Advisor at Mefop Spa, the company created by the Italian Ministry of Economy and Finance for the development of the pension fund market and of other social security forms and undertakes public policy initiatives in the area of stewardship, such as the co-authorship of the inaugural Stewardship Guidelines for Italian pension funds.

He has launched as a Founding Member and served as Member of the Board of Directors at important initiatives in transnational corporate governance, such as the ESG European Institute, the first multistakeholder ESG think tank (academics, CEOs, directors, ESG analysts, lawyers, policy makers, proxyadvisors among many others) and the Transnational Network of Banking and Financial Law (Montreal). 

He is a member of the Executive Board of the International Association of Economic Law (AIDE), of the editorial board of the journals 'Corporate Ownership and Control' and 'Corporate Governance and Sustainability Review' and of the UK Research and Innovation Future Leaders Fellowships (UKRI FLF) programme Peer Review College. 

Professor Sergakis has previously taught at the Universities of Paris Ouest Nanterre la Defence (2006-2010), Bedfordshire (2011-2013) and Bristol (2013-2015). He has held Visiting Professorships at the University of Aarhus, University of Alcalá, Global College of Law at UCLouvain, University of Liechtenstein, LUISS Guido Carli University, University of Macerata, Sciences-Po Lyon and University of Trento. He has also held a Visiting Lectureship at the Leuphana University of Lüneburg.

Research interests

Professor Sergakis' research interests are related to Corporate Law, Capital Markets Law and Corporate Governance. He regularly delivers keynote speeches at high-level academic and policy-making events (G7 Pensions Summit, Annual Listed Companies day in Belgium and others) and participates to various conferences. His articles have appeared in the Journal of Corporate Law Studies, the European Business Organization Law Review and the European Company and Financial Law Review, among others. 

Professor Sergakis is the author of "The Transparency of Listed Companies in EU Law". His book received the prestigious prize Prix Solennel André Isoré under the Presidency of the French Prime Minister (award for the best PhD in Private Law amongst all doctorates awarded in 2010) and the Special Grant 2011/2012 under the Special Grant and Support Program for Scholars’ Association Members of the Alexander S. Onassis Foundation (award and publication of a PhD thesis which has received recognition in the academic community). It has been published in the collection of the Institute of Legal Research of the Sorbonne Law School (Bibliothèque de l’Institut de Recherche Juridique de la Sorbonne - IRJS Editions).

He regularly advises public authorities, issuer associations and Ministry organisations on corporate governance and stewardship as well as investment consulting firms in relation to ESG issues and scoring methods. His research has been cited extensively by authorities, associations and market actors in various countries. He also delivers training seminars to pension funds in relation to shareholder stewardship issues. He has been invited by the Financial Reporting Council (FRC) to provide themes/ideas that should be considered in developing corporate governance principles for large private companies (the Wates Principles) and participates at the UK Financial Reporting Lab’s project on corporate disclosures about stakeholders.

He was Co-investigator of the 3-year Research project ‘Shareholder Duties’ which was awarded a YDUN Grant (£458.000) from the Danish Council for Independent Research (PI: Professor Hanne Birkmose, Aarhus University). He has also received scholarships from the Alexander S. Onassis Foundation and Vardinnoyannis Foundation for his postgraduate studies (LLM and PhD).

He is happy to talk to the media about the following topics: Capital Markets Law, Company Law, Corporate Governance, ESG, Institutional investors, Pension Funds, Proxy Advisors and Stewardship.

Webinars 
 

For more information on Professor Sergakis's research, please visit his profile on the following networks:

Publications

Selected publications

All publications

List by: Type | Date

Jump to: 2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011
Number of items: 45.

2023

Sergakis, K. (2023) Shareholder stewardship: Autonomy and sociality. Journal of Corporate Law Studies, (doi: 10.1080/14735970.2023.2294550) (Early Online Publication)

2022

Katelouzou, D. and Sergakis, K. (2022) Shareholder stewardship enforcement. In: Katelouzou, D. and Puchniak, D. W. (eds.) Global Shareholder Stewardship. Cambridge University Press: Cambridge, pp. 572-598. ISBN 9781108843102 (doi: 10.1017/9781108914819.028)

2021

Katelouzou, D. and Sergakis, K. (2021) When harmonization is not enough: shareholder stewardship in the European Union. European Business Organisation Law Review, 22(2), pp. 203-240. (doi: 10.1007/s40804-020-00198-5)

Birkmose, H. and Sergakis, K. (Eds.) (2021) The Shareholder Rights Directive II: A Commentary. Series: Elgar commentaries series. Edward Elgar Publishing. ISBN 9781839101229 (Accepted for Publication)

Bartolacelli, A. et al. (2021) Enforcement of SRD II provisions. In: Birkmose, H. and Sergakis, K. (eds.) Shareholder Rights Directive II: A Commentary. Edward Elgar Publishing, pp. 320-350. ISBN 9781839101236

Birkmose, H. and Sergakis, K. (2021) Introduction. In: Birkmose, H. and Sergakis, K. (eds.) Shareholder Rights Directive II: A Commentary. Edward Elgar Publishing, pp. 2-17. ISBN 9781839101236

2020

Cucari, N., Esposito De Falco, S., Carbonara, S., Sergakis, K. and Sardanelli, D. (2020) Determinants of commitment and opportunism of institutional investors’ behavior: an empirical investigation on robo-voting phenomena. Sinergie Italian Journal of Management, 38(3), pp. 191-214.

Kokkinis, A. and Sergakis, K. (2020) A flexible model for efficient employee participation in UK companies. Journal of Corporate Law Studies, 20(2), pp. 453-493. (doi: 10.1080/14735970.2020.1735161)

2019

Sergakis, K. (2019) Ownership disclosure in anti-money laundering law. In: Tountopoulos, V. and Veil, R. (eds.) Transparency of Stock Corporations in Europe: Rationales, Limitations and Perspectives. Hart Publishing, pp. 199-215. ISBN 9781509925520

Sergakis, K. (2019) Anti-money laundering rules against abuses of companies. In: Birkmose, H. and Sørensen, K. (eds.) Abuses of Companies. Series: European company law series (15). Kluwer Law International: Alphen aan den Rijn, The Netherlands, pp. 287-308. ISBN 9789403508924

Sergakis, K. (2019) The Future for Governance Powers - Boardroom Composition, Flexibility and the Power of Shareholders. In: Westminster Business Forum Keynote Seminar: Next Steps for the Financial Reporting and Corporate Governance Powers in the UK - Accountability, Stewardship and the Future for Regulation, London, UK, 28 Feb 2019, pp. 42-43.

Birkmose, H. S. and Sergakis, K. (Eds.) (2019) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar. ISBN 9781788114868

Birkmose, H. S. and Sergakis, K. (2019) Introduction. In: Birkmose, H. S. and Sergakis, K. (eds.) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar, pp. 1-15. ISBN 9781788114868

Sergakis, K. (2019) Legal versus social enforcement of shareholder duties. In: Birkmose, H. S. and Sergakis, K. (eds.) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar, pp. 128-148. ISBN 9781788114868

2018

Sergakis, K. (2018) The Law of Capital Markets in the EU: Disclosure and Enforcement. Series: Palgrave corporate and financial law. Palgrave Macmillan. ISBN 9781137518460

Autenne, A. et al. (2018) The current challenges for EU company and financial law and regulation. Accounting, Economics, and Law, 8(3), 20170064. (doi: 10.1515/ael-2017-0064)

Malberti, C., Rousseau, S. and Sergakis, K. (2018) The regulation of short selling: A transatlantic discussion on policy issues and instruments. Revue Trimestrielle de Droit Financier, 2018(4), 37.

2017

Sergakis, K. (2017) The relevance of time in framing the sanctions framework for defective disclosure. European Business Law Review, 28(3), pp. 331-366.

Sergakis, K. (2017) Application des lois et sanctions en droits brittanique et européen: dissuasion et conformité = Enforcement and sanctions in UK and EU law: dissuasion and compliance. Revue internationale des services financiers = International Journal for Financial Services, 2017(1), pp. 16-22.

Sergakis, K. (2017) The duties of a short seller. In: Birkmose, H.S. (ed.) Shareholder Duties. Kluwer Law International, pp. 153-173.

Sergakis, K. (2017) Les agences de notation face au pouvoir croissant de l’ESMA = [Credit rating agencies facing ESMA’s increasing power]. In: Pailler, P., Rouaud, A.-C. and Roussille, M. (eds.) Mélanges en L’Honneur de Jean-Jacques Daigre. Editions Lextenso, pp. 769-778. ISBN 9782306000793

2016

Sergakis, K. (2016) Derivative actions in UK company law. Actes Pratiques et Strategie Patrimoniale, 1, pp. 19-22.

2015

Sergakis, K. (2015) Deconstruction and reconstruction of the 'comply or explain' principle in EU capital markets. Accounting, Economics and Law, 5(3), pp. 233-288. (doi: 10.1515/ael-2014-0007)

Sergakis, K. (2015) A rejoinder on Mr. Duhamel’s commentary. Accounting, Economics and Law, 5(3), p. 301. (doi: 10.1515/ael-2014-0024)

Sergakis, K. (2015) Les conventions réglementées dans les groupes de sociétés en droits britannique et américain = Related party transactions in corporate groups in UK and US Law. Actes Pratiques et Strategie Patrimoniale, 3, pp. 9-10.

2014

Sergakis, K. (2014) Agences de notation = [Credit Rating Agencies]. In: Jurisclasseur Europe. Lexis Nexis, pp. 1-25.

Sergakis, K. (2014) Agences de notation et droit européen : renforcement du cadre réglementaire = [Credit rating agencies and EU law: reinforcement of the regulatory framework]. Revue internationale des services financiers = International Journal for Financial Services, 1, pp. 92-96.

Sergakis, K. (2014) EU corporate governance: the ongoing challenges of the 'institutional investor activism' conundrum. European Journal of Law Reform, 2014(4), p. 728.

Sergakis, K. (2014) Paul Davies, Klaus Hopt, Richard Nowak, and Gerard van Solinge (eds.), Corporate Boards in Law and Practice: A Comparative Analysis in Europe. International Company and Commercial Law Review, 25(6), pp. 229-231. [Book Review]

Sergakis, K. (2014) Proxy advisory firms under ESMA's microscope: a perfectible regulatory approach? International Company and Commercial Law Review, 25(4), pp. 144-151.

Sergakis, K. (2014) Rapport d’enquête sur les notations souveraines : l’ESMA hausse le ton = [Investigation report on sovereign ratings : ESMA raises its voice]. Bulletin Joly Bourse, 2014(2), pp. 83-87.

2013

Sergakis, K. (2013) EU corporate governance: a new supervisory mechanism for the ʻcomply or explainʼ principle? European Company and Financial Law Review, 10(3), pp. 394-431. (doi: 10.1515/ecfr-2013-0394)

Sergakis, K. (2013) ESMA et agences de conseil en vote: un rapprochement délicat à la recherche d’une transparence volontaire = [ESMA and proxy advisory firms: a delicate approach in the search of a voluntary transparency]. Bulletin Joly Bourse, 2013(4), pp. 198-204.

Sergakis, K. (2013) La transparence des sociétés cotées en droit européen. Series: Bibliothèque de l'Institut de recherche juridique de la Sorbonne-André Tunc, 41. IRJS Editions: Paris. ISBN 9782919211166

Sergakis, K. (2013) Le Stewardship code: lumière d’Outre-Manche sur les investisseurs institutionnels = [The stewardship code: light across the channel on institutional investors]. Bulletin Joly Bourse, 2013(1), pp. 4-5.

Sergakis, K. (2013) The UK stewardship code: bridging the gap between companies and institutional investors. Revue Juridique Themis, 47(1), pp. 109-154.

2012

Sergakis, K. (2012) Le renforcement des pouvoirs des autorités compétentes = [The reinforcement of competent authorities’ powers], in J.-J. Daigre (sous la dir.), Dossier: Les enjeux de la réforme de la directive Abus de marché = [The challenges of the Market Abuse Directive reform]. Bulletin Joly Bourse, 2012(3), pp. 118-122.

Sergakis, K. (2012) Réforme de l’audit en Europe: choix prématurés et occasions manquées = [Audit reform in Europe: premature choices and lost chances]. Bulletin Joly Bourse, 2012(6/7), pp. 306-309.

Sergakis, K. (2012) Stockage des informations règlementées à l’échelle européenne: études et propositions = [Storage of regulated information at EU level: studies and proposals]. Bulletin Joly Bourse, 2012(1), pp. 22-26.

Sergakis, K. (2012) Un dilemme européen désormais critique: les rémunérations des dirigeants entre discretion et visibilité = [A European dilemma by now critical: CEO remuneration between discretion and visibility]. Bulletin Joly Bourse, 2012, pp. 84-87.

2011

Sergakis, K. (2011) L’ESMA consulte sur le régime de prospectus suite à la demande d’avis technique de la part de la Commission européenne = [ESMA consults on the prospectus regime after the technical advice request from the European commission]. Bulletin Joly Bourse, 2011(6), pp. 365-368.

Sergakis, K. (2011) La transparence des sociétés cotées = [The transparency of listed companies]. Bulletin Joly Bourse, 2011(10), pp. 568-569.

Sergakis, K. (2011) Note sous décision de la Commission des sanctions du 18 novembre 2010 à l’égard de MM. Pascal Koskas, Abel Sberro, X, Olivier Hoën, Arnaud Bezzina, Patrice Bourgeois, Y et Z. Bulletin Joly Bourse, 2011(4), pp. 246-252.

Sergakis, K. (2011) Note sous décision de la Commission des sanctions du 7 octobre 2010 à l’égard de la société X (anciennement dénommée Y), de M.A et de M.B. Petites Affiches, 46, pp. 6-20.

Sergakis, K. (2011) Règlement no 513/2011: la marche de l’ESMA vers la 'maturité régulatrice' face aux agences de notation = [Regulation (EU) no 513/2011: ESMA’s progress towards 'regulatory maturity' facing Credit Rating Agencies]. Bulletin Joly Bourse, 2011(9), pp. 491-494.

This list was generated on Fri Apr 19 12:00:00 2024 BST.
Jump to: Articles | Books | Book Sections | Book Reviews | Edited Books | Conference Proceedings
Number of items: 45.

Articles

Sergakis, K. (2023) Shareholder stewardship: Autonomy and sociality. Journal of Corporate Law Studies, (doi: 10.1080/14735970.2023.2294550) (Early Online Publication)

Katelouzou, D. and Sergakis, K. (2021) When harmonization is not enough: shareholder stewardship in the European Union. European Business Organisation Law Review, 22(2), pp. 203-240. (doi: 10.1007/s40804-020-00198-5)

Cucari, N., Esposito De Falco, S., Carbonara, S., Sergakis, K. and Sardanelli, D. (2020) Determinants of commitment and opportunism of institutional investors’ behavior: an empirical investigation on robo-voting phenomena. Sinergie Italian Journal of Management, 38(3), pp. 191-214.

Kokkinis, A. and Sergakis, K. (2020) A flexible model for efficient employee participation in UK companies. Journal of Corporate Law Studies, 20(2), pp. 453-493. (doi: 10.1080/14735970.2020.1735161)

Autenne, A. et al. (2018) The current challenges for EU company and financial law and regulation. Accounting, Economics, and Law, 8(3), 20170064. (doi: 10.1515/ael-2017-0064)

Malberti, C., Rousseau, S. and Sergakis, K. (2018) The regulation of short selling: A transatlantic discussion on policy issues and instruments. Revue Trimestrielle de Droit Financier, 2018(4), 37.

Sergakis, K. (2017) The relevance of time in framing the sanctions framework for defective disclosure. European Business Law Review, 28(3), pp. 331-366.

Sergakis, K. (2017) Application des lois et sanctions en droits brittanique et européen: dissuasion et conformité = Enforcement and sanctions in UK and EU law: dissuasion and compliance. Revue internationale des services financiers = International Journal for Financial Services, 2017(1), pp. 16-22.

Sergakis, K. (2016) Derivative actions in UK company law. Actes Pratiques et Strategie Patrimoniale, 1, pp. 19-22.

Sergakis, K. (2015) Deconstruction and reconstruction of the 'comply or explain' principle in EU capital markets. Accounting, Economics and Law, 5(3), pp. 233-288. (doi: 10.1515/ael-2014-0007)

Sergakis, K. (2015) A rejoinder on Mr. Duhamel’s commentary. Accounting, Economics and Law, 5(3), p. 301. (doi: 10.1515/ael-2014-0024)

Sergakis, K. (2015) Les conventions réglementées dans les groupes de sociétés en droits britannique et américain = Related party transactions in corporate groups in UK and US Law. Actes Pratiques et Strategie Patrimoniale, 3, pp. 9-10.

Sergakis, K. (2014) Agences de notation et droit européen : renforcement du cadre réglementaire = [Credit rating agencies and EU law: reinforcement of the regulatory framework]. Revue internationale des services financiers = International Journal for Financial Services, 1, pp. 92-96.

Sergakis, K. (2014) EU corporate governance: the ongoing challenges of the 'institutional investor activism' conundrum. European Journal of Law Reform, 2014(4), p. 728.

Sergakis, K. (2014) Proxy advisory firms under ESMA's microscope: a perfectible regulatory approach? International Company and Commercial Law Review, 25(4), pp. 144-151.

Sergakis, K. (2014) Rapport d’enquête sur les notations souveraines : l’ESMA hausse le ton = [Investigation report on sovereign ratings : ESMA raises its voice]. Bulletin Joly Bourse, 2014(2), pp. 83-87.

Sergakis, K. (2013) EU corporate governance: a new supervisory mechanism for the ʻcomply or explainʼ principle? European Company and Financial Law Review, 10(3), pp. 394-431. (doi: 10.1515/ecfr-2013-0394)

Sergakis, K. (2013) ESMA et agences de conseil en vote: un rapprochement délicat à la recherche d’une transparence volontaire = [ESMA and proxy advisory firms: a delicate approach in the search of a voluntary transparency]. Bulletin Joly Bourse, 2013(4), pp. 198-204.

Sergakis, K. (2013) Le Stewardship code: lumière d’Outre-Manche sur les investisseurs institutionnels = [The stewardship code: light across the channel on institutional investors]. Bulletin Joly Bourse, 2013(1), pp. 4-5.

Sergakis, K. (2013) The UK stewardship code: bridging the gap between companies and institutional investors. Revue Juridique Themis, 47(1), pp. 109-154.

Sergakis, K. (2012) Le renforcement des pouvoirs des autorités compétentes = [The reinforcement of competent authorities’ powers], in J.-J. Daigre (sous la dir.), Dossier: Les enjeux de la réforme de la directive Abus de marché = [The challenges of the Market Abuse Directive reform]. Bulletin Joly Bourse, 2012(3), pp. 118-122.

Sergakis, K. (2012) Réforme de l’audit en Europe: choix prématurés et occasions manquées = [Audit reform in Europe: premature choices and lost chances]. Bulletin Joly Bourse, 2012(6/7), pp. 306-309.

Sergakis, K. (2012) Stockage des informations règlementées à l’échelle européenne: études et propositions = [Storage of regulated information at EU level: studies and proposals]. Bulletin Joly Bourse, 2012(1), pp. 22-26.

Sergakis, K. (2012) Un dilemme européen désormais critique: les rémunérations des dirigeants entre discretion et visibilité = [A European dilemma by now critical: CEO remuneration between discretion and visibility]. Bulletin Joly Bourse, 2012, pp. 84-87.

Sergakis, K. (2011) L’ESMA consulte sur le régime de prospectus suite à la demande d’avis technique de la part de la Commission européenne = [ESMA consults on the prospectus regime after the technical advice request from the European commission]. Bulletin Joly Bourse, 2011(6), pp. 365-368.

Sergakis, K. (2011) La transparence des sociétés cotées = [The transparency of listed companies]. Bulletin Joly Bourse, 2011(10), pp. 568-569.

Sergakis, K. (2011) Note sous décision de la Commission des sanctions du 18 novembre 2010 à l’égard de MM. Pascal Koskas, Abel Sberro, X, Olivier Hoën, Arnaud Bezzina, Patrice Bourgeois, Y et Z. Bulletin Joly Bourse, 2011(4), pp. 246-252.

Sergakis, K. (2011) Note sous décision de la Commission des sanctions du 7 octobre 2010 à l’égard de la société X (anciennement dénommée Y), de M.A et de M.B. Petites Affiches, 46, pp. 6-20.

Sergakis, K. (2011) Règlement no 513/2011: la marche de l’ESMA vers la 'maturité régulatrice' face aux agences de notation = [Regulation (EU) no 513/2011: ESMA’s progress towards 'regulatory maturity' facing Credit Rating Agencies]. Bulletin Joly Bourse, 2011(9), pp. 491-494.

Books

Sergakis, K. (2018) The Law of Capital Markets in the EU: Disclosure and Enforcement. Series: Palgrave corporate and financial law. Palgrave Macmillan. ISBN 9781137518460

Sergakis, K. (2013) La transparence des sociétés cotées en droit européen. Series: Bibliothèque de l'Institut de recherche juridique de la Sorbonne-André Tunc, 41. IRJS Editions: Paris. ISBN 9782919211166

Book Sections

Katelouzou, D. and Sergakis, K. (2022) Shareholder stewardship enforcement. In: Katelouzou, D. and Puchniak, D. W. (eds.) Global Shareholder Stewardship. Cambridge University Press: Cambridge, pp. 572-598. ISBN 9781108843102 (doi: 10.1017/9781108914819.028)

Bartolacelli, A. et al. (2021) Enforcement of SRD II provisions. In: Birkmose, H. and Sergakis, K. (eds.) Shareholder Rights Directive II: A Commentary. Edward Elgar Publishing, pp. 320-350. ISBN 9781839101236

Birkmose, H. and Sergakis, K. (2021) Introduction. In: Birkmose, H. and Sergakis, K. (eds.) Shareholder Rights Directive II: A Commentary. Edward Elgar Publishing, pp. 2-17. ISBN 9781839101236

Sergakis, K. (2019) Ownership disclosure in anti-money laundering law. In: Tountopoulos, V. and Veil, R. (eds.) Transparency of Stock Corporations in Europe: Rationales, Limitations and Perspectives. Hart Publishing, pp. 199-215. ISBN 9781509925520

Sergakis, K. (2019) Anti-money laundering rules against abuses of companies. In: Birkmose, H. and Sørensen, K. (eds.) Abuses of Companies. Series: European company law series (15). Kluwer Law International: Alphen aan den Rijn, The Netherlands, pp. 287-308. ISBN 9789403508924

Birkmose, H. S. and Sergakis, K. (2019) Introduction. In: Birkmose, H. S. and Sergakis, K. (eds.) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar, pp. 1-15. ISBN 9781788114868

Sergakis, K. (2019) Legal versus social enforcement of shareholder duties. In: Birkmose, H. S. and Sergakis, K. (eds.) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar, pp. 128-148. ISBN 9781788114868

Sergakis, K. (2017) The duties of a short seller. In: Birkmose, H.S. (ed.) Shareholder Duties. Kluwer Law International, pp. 153-173.

Sergakis, K. (2017) Les agences de notation face au pouvoir croissant de l’ESMA = [Credit rating agencies facing ESMA’s increasing power]. In: Pailler, P., Rouaud, A.-C. and Roussille, M. (eds.) Mélanges en L’Honneur de Jean-Jacques Daigre. Editions Lextenso, pp. 769-778. ISBN 9782306000793

Sergakis, K. (2014) Agences de notation = [Credit Rating Agencies]. In: Jurisclasseur Europe. Lexis Nexis, pp. 1-25.

Book Reviews

Sergakis, K. (2014) Paul Davies, Klaus Hopt, Richard Nowak, and Gerard van Solinge (eds.), Corporate Boards in Law and Practice: A Comparative Analysis in Europe. International Company and Commercial Law Review, 25(6), pp. 229-231. [Book Review]

Edited Books

Birkmose, H. and Sergakis, K. (Eds.) (2021) The Shareholder Rights Directive II: A Commentary. Series: Elgar commentaries series. Edward Elgar Publishing. ISBN 9781839101229 (Accepted for Publication)

Birkmose, H. S. and Sergakis, K. (Eds.) (2019) Enforcing Shareholders' Duties. Series: Elgar financial law. Edward Elgar. ISBN 9781788114868

Conference Proceedings

Sergakis, K. (2019) The Future for Governance Powers - Boardroom Composition, Flexibility and the Power of Shareholders. In: Westminster Business Forum Keynote Seminar: Next Steps for the Financial Reporting and Corporate Governance Powers in the UK - Accountability, Stewardship and the Future for Regulation, London, UK, 28 Feb 2019, pp. 42-43.

This list was generated on Fri Apr 19 12:00:00 2024 BST.

Grants

Recipient of a Research Grant by the School of Law, University of Macerata. Research project ‘Corporate Sustainability and ESG’. Duration: 2020. Grant: €7,000.

Co-Investigator: Research project ‘Shareholder Duties’, YDUN Grant, Danish Council for Independent Research, Ministry for Higher Education and Science, October 2014. Principal Investigator: Professor Hanne S. Birkmose, Aarhus University, Denmark. Duration: January 2015 – December 2017.  Grant: £458,832.80.

Recipient of the Special Grant 2011/2012 under the Special Grant and Support Program for Scholars’ Association Members of the Alexander S. Onassis Foundation (award and publication of a PhD thesis which has received recognition in the academic community), Greece. Duration: March 2013.  Grant: £5,000.

Supervision

  • METE, SUMEYYE NUR
    The use of artificial intelligence in corporate governance: Ethics, morality and legal issues surrounding AI’s.

Teaching

  • LLB Financial Law
  • LLM International Capital Markets Law

Professional activities & recognition

Prizes, awards & distinctions

  • 2011: PhD award in Private Law Prix Solennel André Isoré 2011 (award for the best PhD in Private Law amongst all the PhD’s awarded from Parisian Universities during 2010 (Chancellerie des Universités de Paris)
  • 2019: Best Paper Prize - Innovations on Corporate Governance Track (co-authored paper with N. Cucari, S. Carbonara and S. Esposito de Falco) (EURAM Conference)

Grant committees & research advisory boards

  • 2018 - ongoing: UK Research and Innovation Future Leaders Fellowships programme, Peer Review College
  • 2019 - ongoing: Journal of Law and Social Studies, Advisory Board

Editorial boards

  • 2019 - ongoing: Journal for International and European Law, Economics and Market Integrations
  • 2017 - ongoing: Corporate Governance and Sustainability Review
  • 2016 - ongoing: Corporate Ownership & Control

Professional & learned societies

  • 2015 - ongoing: Council Member, Society of Legal Scholars

Supplementary

  • 08/18 Member of the Peer Review College of the UK Research and Innovation Future Leaders Fellowships programme 05/18 Founding Member and Executive Board Member of the Transnational Network of Banking & Financial Law (Réseau Transnantional en Droit Bancaire et Financier) 2017 Elected Executive Board Member of the International Association of Economic Law (AIDE)

Additional information

Impact case studies

In his capacity as Mefop Spa Advisor, Konstantinos has co-designed and co-authored the inaugural Stewardship Guidelines for pension funds (2021) and of a set of Guidelines on the use of ‘comply or explain’ principle in annual statements from pension funds (published in December 2020). He has also participated in the drafting of the first Operating Manual for pension funds, together with Assofondipensione and Mefop (published in December 2021). 

Konstantinos influenced a US shareholder advocate (Mr James McRitchie) in his shareholder proposals to various US listed companies (WDFC, Wd-40, Woodward Inc, Walt Disney, Starbucks among others) where his arguments on employees (JCLS paper co-authored with Andreas Kokkinis) are cited and used as a basis for such proposals. See also James McRitchie’s blog here.

His written evidence (together with Dr. Dionysia Katelouzou and Dr. Andreas Kokkinis) to the open consultation of the Greek Ministry of Finance has led to amendments to the final version of the Greek Bill on corporate governance. Greek draft bill consultation

He achieved impact by influencing Mefop (the Italian Ministry’s of Finance association in charge of pension funds) in June 2020 in relation to the new regulatory Italian framework of shareholder stewardship. To its response to Covip (the Italian Authority in charge of pension funds) Mefop based its recommendations for the future enforcement framework by citing extensively Konstantinos’ research. 

Konstantinos' research in relation to the SRDII and to audit committees was cited by Dr. Leda Condoyanni, President of NEDClub Greece on 2 July 2020 at the Greek Parliament hearing on the draft Government Bill ‘Corporate governance of Sociétés Anonymes, modern capital market and transposition of Directive (EU) 2017/828 of the European Parliament and of the Council’.

He has also influenced decisively Minerva Analytic Ltd’s, Assonime’s (Association of Italian Joint Stock Companies) and Confindustria’s (General Confederation of Italian Industry) position in relation to the Italian transposition of the Shareholder Rights Directive

Public Engagement

Written evidence in relation to the Italian Authority Covip regarding the draft Regulation transposing the Shareholder Rights Directive for pension funds. Read here: Consultation COVIP 2020

Written evidence in relation to the Italian Authority IVASS regarding the draft Regulation transposing the Shareholder Rights Directive for insurance funds. Read here: Consultation IVASS 2020

Written evidence on corporate governance matters together with Dr. Dionysia Katelouzou and Dr. Andreas Kokkinis to the open consultation of the Greek Ministry of Finance on the draft Act ‘Corporate governance of Sociétés Anonymes, modern capital market and transposition of Directive (EU) 2017/828 of the European Parliament and of the Council’. Read here: Written Evidence with Dr. Katelouzou and Dr. Kokkinis

Written evidence on stewardship matters together with Dr. Dionysia Katelouzou to the open consultation of the Greek Ministry of Finance on the draft Act ‘Corporate governance of Sociétés Anonymes, modern capital market and transposition of Directive (EU) 2017/828 of the European Parliament and of the Council’. Read here: Written evidence with Dr. Katelouzou

Response to the Japanese Financial Services Agency's Public Consultation in relation to the Principles for Responsible Institutional Investors - Stewardship Code (with Dr. Dionysia Katelouzou). Read here: Response to the Japanese Financial Services Agency

Response to the SEC public consultation in relation to the amendments to Exemptions from the Proxy Rules for Proxy Voting Advice, 17 CFR Part 240 [Release No. 34‐87457]
 Read Here: SEC Consultation - Proxy Advisors

Consultation response to Securities and Exchange Board of India’s Working Group – Proxy Advisors Rules Read here: SEBI Consultation - Proxy Advisors

Consultation response to Financial Conduct Authority (FCA) - Proxy Advisors Regulations 2019 Read here: FCA Consultation SRD - Proxy Advisors

Consultation response to Stewardship Code  Read here: https://www.frc.org.uk/getattachment/52a50914-cca1-416b-afad-55a02edd28d5/Sergakis,-Dr-(University-of-Glasgow);.aspx

Written evidence to the 'Consulta Pública CNSF - Anteprojeto para transposição da Diretiva dos Acionistas' (with Dr. Andreas Kokkinis) Read here: Sergakis & Kokkinis - Portuguese Consultation SRD

Written evidence to the consultation in relation to the 'Gesetz zur Umsetzung der zweiten Aktionärsrechterichtlinie (ARUG II)' (with Dr. Andreas Kokkinis) Read here: Sergakis & Kokkinis - German Consultation SRD

Written evidence to the consultation of the 'Ministero dell’Economia e delle Finanze (MEF) per la trasposizione della SHRD II' (with Dr. Andreas Kokkinis) Read here: Sergakis & Kokkinis - Italian Consultation SRD

Consultation response to ‘Consultation: The Wates Corporate Governance Principles for Large Private Companies' Financial Reporting Council, September 2018.  Read Dr Sergakis's response.

Consultation response to the 'Independent Review of the Financial Reporting Council (FRC)’ led by the Department for Business, Energy, and Industrial Strategy (BEIS), July 2018.  Read Dr Sergakis's response: FRC Review - Sergakis

Consultation response to the proposed revision of the French corporate governance code AFEP/MEDEF, April 2018. More information can be found at: http://consultation.codeafepmedef.fr/EN/    Read the AFEP MEDEF consultation response - Sergakis.

Consultation response to 'Consulting on a Revised UK Corporate Governnance Code', Financial Reporting Council, February 2018.  Read Dr Sergakis's response.

Consultation response to 'Best Practice Principles for Shareholder Voting Research', BBP Group, December 2017.  Read Dr Sergakis's response.

 

Seminars/Workshops/Conference Papers

‘Shareholder Stewardship: the UK example’, Roundtable, 7 November 2023, University of Montreal, Canada (invited).

‘Greenwashing’, Pomerantz LLP 2023 Corporate Governance Roundtable Event: ‘Governance Red Flags: Lessons Learnt, Mistakes Prevented’, 23 October 2023, Rome, Italy (invited).

‘Proxy Advisors: The Example of Monitored Self-Regulation’, BPP Oversight Committee 3rd Open Stakeholder Forum, 18 October 2023.

‘The Role of the BPP OC: Monitored Self-Regulation’, FRC/Morrow Sodali/Durham University, 10 July 2023, Durham, UK (invited).

‘Stewardship as a Social Norm’, LUISS University, 28 March 2023, Italy (invited).

Plenary Speaker: ‘Monitored Self-Regulation: the IOC’s role’, Council of Institutional Investors (CII) Annual Conference, 8 March 2023, Washington, US (invited).

‘The Role of the IOC: Monitored Self-Regulation’, Georgeson Investor Insights Webinar, 20 January 2023, Rome, Italy (invited).

‘Stewardship as a Social Norm: the ESG Challenge’, Beihang University, 12 January 2023, Beijing, China (invited).

‘Stewardship as a Social Norm’, University of Turin, 13 December 2022, Italy (invited).

‘The IOC’s mission and modus operandi’, ESMA Roundtable on proxy advisors, 15 November 2022, Paris, France (invited).

‘BPPG Signatories Compliance Statements’, Independent Oversight Committee Annual Forum, 11 October 2022, Rome, Italy (invited).

‘The Democratisation of Capital Markets’, Roundtable Discussion on Sustainable Finance, UCL Conference, 30 June-1 July 2022, London, UK (invited).

‘Stewardship Codes, Democratisation of Sustainable Investment and Shareholder Personhood’, University of Amsterdam, 23-24 June 2022, Amsterdam, the Netherlands (invited).

‘The Renaissance of Shareholder Personhood’, King’s College London Business, Regulation and Society Seminars, 8 June 2022, London, UK (invited).

‘The Renaissance of Shareholder Personhood’, LUISS, 6 April, Rome, Italy (invited).

Delivery of the 2022 8th Paule-Gauthier Annual Lecture: ‘Climate Change, Corporate Governance and Financial Law’, Université de Laval, 5 April 2022, Québec, (invited).

Plenary Speaker: ‘Empowering Employees and Setting the Ground for a new Sense of Citizenship’, Romanian Academy of Science, Research Institute for Quality of Life, 18 November 2021, Bucharest, Romania (invited).

‘ESG Law Reshaping Financial Markets’, G20 Pensions Forum, 28 October 2021, Paris, France (invited).

‘Proxy Advisors’, BPPG Independent Oversight Committee 1st Open Stakeholder Forum, 6 October 2021.

‘Pension Fund Regulation in the EU’, Responsible Asset Owners Global Summit, 5 October 2021, London, UK (invited).

‘The Transposition of SRDII in Italy: the Example of Stewardship’, LUISS webinar, 1 July 2021, Rome, Italy (invited).

‘EU Capital Markets’, Research Seminar Series, Centre for Commercial Law and Financial Regulation, 10 February 2021, University of Reading, UK (invited).

‘The EU Commission Capital Markets Union New Action Plan’, UCLouvain Guest Lecture, 3 February 2021 (invited).

‘The UK Corporate Governance Landscape’, LUISS Master B&C Law Guest Lecture, 16 January 2021, LUISS, Rome, Italy (invited).

‘Pension Funds under Pressure: Top Down and Bottom Up Regulatory Approaches’, G7 P7 Global Financial Forum, Speaker and Co-Chair, 14-16 December 2020 (invited).

‘Employee participation on boards’ (with Dr. Andreas Kokkinis), 4th International Conference on European Company Law and Corporate Governance, 26-27 November 2020, University of Zagreb, Croatia.

‘The Inaugural Comply or Explain Guidelines in Italy’, Mefop event ‘SRD II and pension funds’, 26 November 2020, Rome, Italy (invited).

‘ESG, Pension Funds and SRDII’, World Pensions Council EU-ASEAN Financial Forum, 12-13 November 2020 (invited).

‘Corporate Governance and Stewardship’, Guest Lecture, 26 October 2020, Sapienza University of Rome, Italy.

'Keynote Speaker: ‘Companies in times of crises: a constant recalibration of the relationship with stakeholders’, 2020 Annual Listed Companies Week: GUBERNA and Federation of Belgian Enterprises, 9 October 2020, Brussels, Belgium (invited). 

‘Sustainability in EU Capital Markets Law’, National Italian Sustainability Festival, 7-8 October 2020, University of Macerata, Italy (invited).

‘A Set of Guidelines for Italian Pension Funds?’, Mefop event ‘SRD II and pension funds’, 1 October 2020, Rome, Italy (invited).

‘The Rise of ESG’, World Pensions Council and G7 Pensions Summit, 9-10 September 2020.

‘Shareholder Rights Directive II’, LUISS Summer School on Capital Markets, 16 July 2020, LUISS, Rome, Italy (invited).

‘Shareholder Stewardship in EU law’, Mefop training seminar to Italian institutional investors, 13 July 2020, Rome, Italy (invited).

‘EU Capital Markets Law’, LUISS Summer School on Capital Markets, 10 July 2020, LUISS, Rome, Italy (invited).

‘Employee Advisory Panels: A New Model for Shareholder Governance’, Maestria en Derecho de la Empresa, 24 June 2020, Pontificia Universidad Católica del Perú, Perú (invited). 

‘A Stewardship Code for Italian Pension Funds?’, Mefop event ‘SRD II and pension funds’, 10 June 2020, Rome, Italy (invited).

 ‘The Greek Draft Bill on SRD II and Corporate Governance’, NED Club Greece, 9 June 2020 (invited). 

‘Employee Representation on Boards’, Research Seminar, 21 November 2019, University of Warwick, UK (invited).

‘Employee Representation on Boards’, Research Seminar Series, Centre for Commercial Law and Financial Regulation, 20 November 2019, University of Reading, UK (invited).

D. Katelouzou and K. Sergakis, ‘The Impact of SRD II: Deciphering the Dynamics of Regulation’, in Global Shareholder Stewardship Conference, King’s College London, 23-24 September 2019, London, UK.

'SMEs and Corporate Governance’, 9 April 2019, Interdisciplinary Workshop, University of Macerata, Italy (invited).

‘Next Steps for the Financial Reporting and Corporate Governance Powers in the UK - Accountability, Stewardship and the Future for Regulation’, 28 February 2019, Westminster Business Forum Keynote Seminar, London, UK (invited).

‘The Wates Principles’, 22 February 2019, International Conference Las Sociedades Anonimas Cerradas: Cuestiones Actuales, Complutense University, Spain (invited).

Keynote Speaker: ‘The Future of EU Company Law’, 6-7 December 2018, 3rd International Conference on European Company Law and Corporate Governance, University of Zagreb, Croatia (invited).
 
‘The Influence of EU Company and Financial Law’, 28 November 2018, CRIDES Guest Seminar, UCLouvain, Belgium (invited).
 
‘Anti-Money Laundering Rules against Abuses in Corporate Law’, 14-15 November 2018, International Conference ‘Abuses of Companies’, Nordic Company Law Network, University of Aarhus, Denmark (invited).
 
‘A Code of Corporate Governance for Large Private Companies’, 7 November 2018, University College London, UK (invited).

‘Corporate governance and regulation’, Discussant of the Session, 13-15 June 2018, 10th Nordic Corporate Governance Network Conference, Gothenburg University, Sweden.

‘The (Neglected?) Importance of Social Enforcement in the Area of Shareholder Duties’, 13-15 June 2018, 10th Nordic Corporate Governance Network Conference, Gothenburg University, Sweden.

‘CG Principles for Large Private Companies’, 29 May 2018, Financial Reporting Council Event, Edinburgh, UK. 

‘The Enforceability of the Shareholder Rights Directive’, 24 May 2018, European Parliament, Brussels, Belgium.

‘Ownership Disclosure in Anti-Money Laundering Law’, 11-13 May 2018, Transparency of Stock Corporations in Europe, University of the Aegean, Greece.

‘Short Selling Challenges’ Roundtable, 3 May 2018, University of Montreal, 2nd annual conference of the Réseau Transnantional en Droit Bancaire et Financier, Canada.

'The Neglected Importance of Informal Governance and Education in Shareholder Engagement Duties’, Investigating the Impact of Law through interdisciplinary research, 5-6 April 2018, Monash University Prato Centre, Italy.

'Shareholder Activism' workshop, 15 February 2018, Instituo de Derecho Europeo e Integracion Regional (IDEIR), Universidad Complutense, Madrid, Spain.

‘Proxy advisors: The Ambiguous Mixture of Soft and Semi-hard law’, SIDE 13th Annual Conference, 15-16 December 2017, Lumsa University, Italy.

‘The Transparency of Listed Companies in EU Capital Markets Law’, Guest Lecture, 6 December 2017, Free University of Bozen, Italy.

‘Legal v. Social Enforcement of Shareholder Duties: Shareholder and Company Performance under Threat?’, International conference: Corporate Governance and Company Performance, 26 October 2017, Lisbon, Portugal.

Konstantinos Sergakis and Hanne S. Birkmose, 'Different aspects of enforcement of shareholders' duties', 9-13 October 2017, University of Oslo, Norway.

'Legal versus Social Enforcement of Shareholder Duties’,  International Conference Enforcing Shareholder Duties, 15 September 2017, University of Glasgow, UK.

‘Enforcement of Shareholder Duties: The Preferred Way to Sustainability?’, Council of European Studies, 12 July 2017, University of Glasgow, UK.

‘Regulatory Challenges for Banking and Capital Markets’ Discussant of the Session, SASE 29th Annual Conference, 29 June-2 July 2017, University of Lyon 3, France.

‘Enforcement of Shareholder Duties: The Preferred Way to Sustainability?’, SASE 29th Annual Conference, 29 June-2 July 2017, University of Lyon 3, France.

‘Disclosure and Accountability in EU Capital Markets Law’, 23 June 2017, European Law Institute Conference, Vienna, Austria.

‘Enforcement Mechanisms in Capital Markets Law’, 22-23 May 2017, University of Ghent, Belgium.

‘EU Capital Markets Law’, Guest Lecture, University of Cyprus, 27 April 2017, Cyprus.

‘Enforcement of Shareholder Duties: The Preferred Way to Sustainability?’, Corporate Finance Conference, Capo Bay Hotel, 24-26 April, Cyprus.

Special Guest and Discussant at the Workshop on Ethics & Culture in Finance: 5th Meeting, 31 March 2017, University of Genoa, Italy.

‘Short Selling: Market and Corporate Governance Concerns Revisited’, SIDE 12th Annual Conference, 16-17 December 2016, University of Turin, Italy.

‘The Relevance of Time in Framing the Sanctions Framework for Defective Disclosure’, International conference “Reporting, Investor Relations, Capital Markets – Challenges and Opportunities in Financial Communication”, 10 November 2016, Leipzig, Germany. 

‘Enforcement and Sanctions in UK and EU Law: Dissuasion and Compliance’, International conference “Droit des produits et marchés financiers Tendances et défis, Perspectives transnationales”, 14 October 2016, University of Montréal, Canada. 

'Shareholders Going Long and Short: Corporate Governance Under Threat?', SLS 2016 Annual Conference, 6 - 9 September 2016, University of Oxford, United Kingdom.

‘Individual Responsibility in UK Banking Law’, International Workshop “Enforcement Strategies in Financial Law”, 29 January 2016, University of Glasgow, UK.

'The Duties of a Short Seller', Conference on Shareholder Duties, 10 - 11 November 2015, Aarhus University, Denmark.

' Fighting Deficient Disclosure With Smarter Sanctions? A New Theory in EU Corporate Law', SLS 2015 Annual Conference, 1 - 4 September 2015, University of York, United Kingdom.

'The Relevance of Time in Shaping a New Sanctions Theory in Capital Markets Law', SASE 27th Annual Conference: Inequality in the 21st Century, 2 - 4 July 2015, The London School of Economics and Political Science, United Kingdom.

'Corporate Governance and Financialisation (II): Legal-Economic Case Studies from UK and Norway' (with Yuri Biondi), SASE 27th Annual Conference: Inequality in the 21st Century, 2 - 4 July 2015, The London School of Economics and Political Science, United Kingdom.

'Towards a New Taxonomy of Sanctions in Corporate Law: Fighting Inequality in Capital Markets', BISA 40th Anniversary Conference: The Worlds of Inequality, 16 - 19 June 2015, London, United Kingdom.

‘Shareholder Duties: the UK Approach’, Workshop “Shareholder Duties”, 13-14 March 2015, Aarhus University, Denmark.

'Deconstruction and Reconstruction of the 'Comply or Explain' Principle in EU Capital Markets', SIDE: 10th Annual Conference, 18 - 20 December 2014, Rome, Italy.

‘Compliance, Communication and Engagement in EU Capital Markets: the Importance of National  Dialogue  Mechanisms’,  Northumbria  Conference  in  International  Commercial  Law,  14 November 2014, University of Northumbria, UK (open invitation).

'The Challenging Issue of Institutional Shareholder Engagement in EU Corporate Law: Perfectible Solutions and Perspectives for Reform', 7th Annual Legal Research Network Conference: The Interface of European and National Law, 3 - 4 September 2014, Bristol, United Kingdom.

‘EU Corporate Governance: the Ongoing Challenges of the “Institutional Investor Activism” conundrum’, Research Seminar Series 2013-2014, 5 February 2014, University of Bristol, UK.

'The Evolution of Monitoring Mechanisms in Corporate Governance Statements: An Antidote to Deficient Transparency', 25th SASE Annual Conference: States in Crisis, 27 - 29 June 2013, Milan, Italy.

'Monitoring Mechanisms: A Panacea for the Shortfalls of Soft Law Measures?', Current Challenges in Corporate Governance: Between Regulatory Compliance and Shareholder Activism, 20 June 2013, Luton, United Kingdom.

'EU Corporate Governance: A New Supervisory Mechanism for the 'Comply or Explain' Principle?', 7th International Finance Conference: Current Issues in International Financial Markets: Assessments and Modeling, 7 - 9 March 2013, Paris, France.

‘The UK Stewardship Code: Bridging the Gap Between Companies and Institutional Investors’, International Roundtable “Gouvernance: Quelle contribution des investisseurs institutionnels?”, University of Montreal, 2 November 2012, Canada (open invitation from Professor Stéphane Rousseau).

'European Corporate Governance Framework: Towards an Optimal Monitoring of the 'Comply or Explain' Principle', 4th Cambridge International Regulation and Governance Conference: More Regulation or Better Stewardship? Optimising the Means and Ends of Good Governance, 6 September 2012, Cambridge, United Kingdom.

‘Towards a More Enforceable Status of Soft Law Measures in Corporate Governance’, CRiL Seminar Series 2012-2013, University of Bedfordshire, 18 January 2012, United Kingdom.

‘CEO Remuneration: Recent Developments and Possible Evolution in EU Law’, Lunchtime Seminar Series, University of Luxembourg, 9 February 2011, Luxembourg (open invitation from Professor Pierre-Henri Conac).

‘Soft Law vs. Hard  Law in EU law: the Example of Corporate Governance’, European and Comparative Law Research Center Lectures, University Paris Ouest Nanterre La Défense, 4 March 2011, France (open invitation from Professors Sophie Robin-Olivier and Jean-Sylvestre Bergé).

 


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