Download insider dealing law and practice in pdf or read insider dealing law and practice in pdf online books in PDF, EPUB and Mobi Format. Click Download or Read Online button to get insider dealing law and practice in pdf book now. This site is like a library, Use search box in the widget to get ebook that you want.



Insider Dealing Law And Practice

Author: Sarah Clarke
Publisher: OUP Oxford
ISBN: 9780199672950
Size: 67.14 MB
Format: PDF, ePub, Docs
View: 1255
Download and Read
Insider Dealing: Law and Practice provides a practical guide to the law in this area, including both the criminal and civil regimes, treatment of recent cases and developments, investigation, enforcement, penalties and sentencing.

Insider Dealing

Author: Gil Brazier
Publisher: Routledge
ISBN: 1135318514
Size: 78.64 MB
Format: PDF, ePub, Mobi
View: 3619
Download and Read
This book concentrates on the restatement of the law contained in Part 5 of the Criminal Justice Act 1993. It sets out the law and practice governing the commission of the criminal offence of insider dealing (and of certain other securities market offences) in the United Kingdom. In doing so, it also places the relevant legislation into the context of securities law as a whole. The historical background is explained and there is discussion of the way in which securities business is effected in the City and how it is presently regulated. The book is practical in its approach and will therefore appeal to experienced practitioners and compliance officers.

Insider Dealing And Money Laundering In The Eu Law And Regulation

Author: R.C.H. Alexander
Publisher: Routledge
ISBN: 1317116054
Size: 23.39 MB
Format: PDF, ePub
View: 6451
Download and Read
This work presents a comparative study of the provisions relating to insider dealing under the EC Insider Dealing Directive. The volume begins with a discussion of the rationale for regulating financial services in general and controlling insider dealing and money-laundering in particular. It examines the definition of an insider and of inside information and the various criminal offenses relating to insider dealing. The role of money-laundering is also recognized and the anti-money laundering regime as well as the considerable impact on the financial sector is discussed in detail. The work assesses the efficacy of criminal law in controlling insider dealing and considers the increasing trend to deal with it by means of civil/administrative measures.

The Little Book Of Insider Dealing

Author: Gregory J Durston
Publisher: Waterside Press
ISBN: 1909976539
Size: 62.52 MB
Format: PDF, Mobi
View: 5187
Download and Read
Since the Financial Crisis of 2008, criminal prosecution has moved to centre-stage as the Financial Conduct Authority’s preferred means of punishing and deterring insider dealing (the illegal practice of trading with access to sensitive non-public information). The Little Book of Insider Dealing looks at all aspects of the ‘insider’ offences established by the Criminal Justice Act 1993, including their history, punishment and rationale, as well as their (slightly uneasy) relationship with the overlapping civil regulatory regime that also governs such financial misconduct. Topics covered also include: detection, compliance, surveillance, suspicion, reporting obligations, enforcement and (civil and criminal) penalties and warnings, plus there is a strong focus on evidential aspects and a wealth of examples from real life cases. Suitable for beginners and practitioners alike. The first concise treatment and highly topical. A gem that deals with wide scale problems and complexities identified by an article in The Times (see Chapter 1).

Market Abuse And Insider Dealing

Author: Barry Rider
Publisher: Bloomsbury Publishing
ISBN: 1780434952
Size: 49.51 MB
Format: PDF, ePub
View: 7394
Download and Read
The nature of insider dealing and market abuse -- Insider dealing : the civil law -- The main offences of insider dealing - dealing on the basis of inside information -- The market abuse regime -- FSMA criminalo offences of market manipulation -- Fraud and financial crime -- Anti-money laundering and proceeds of crime -- Conflicts of interest -- Issuer disclosure and liability -- Information gathering -- Investigations -- Enforcement issues -- Compliance procedures and systems -- Personal liability of senior managers and compliance officers -- Control liability -- The impact of other laws : domestic and overseas

The Law Of Insider Trading In Australia

Author: Gregory Lyon
Publisher: Federation Press
ISBN: 9781862875630
Size: 37.67 MB
Format: PDF, Mobi
View: 6446
Download and Read
This book provides a detailed and practical analysis of Australian Insider Trading Laws. Written jointly by Gregory Lyon of the Melbourne Bar and Professor du Plessis of Deakin University, the work: Examines all fundamental concepts relating to insider trading such as ‘who is an insider’, ‘what is inside information’ and ‘when is information generally available’, together with commentaries on proposed changes to the laws and an examination of the impact of the most recent decisions, including Hannes, and Rivkin; Provides a very detailed examination of the defences and exceptions, with particular attention to the operation of Chinese Walls; Analyses fully and systematically the provisions on insider trading in the Corporations Act and the Criminal Code (Cth) within the context of decided cases and relevant secondary materials; Covers comprehensively the penalties and remedies for contravention of the insider trading regime. This includes the intricate civil compensation provisions, and an up-to-date analysis of the civil penalties regime in light of ASIC v Petsas; Discusses the operation and effectiveness of continuous disclosure as a means of preventing insider trading.

Eu Energy Law

Author: John Ratliff
Publisher: Claeys & Casteels Pub
ISBN: 9789077644218
Size: 41.43 MB
Format: PDF, Mobi
View: 7019
Download and Read
Regulation (EU) No 1227/2011 of the European Parliament and of the Council on Wholesale Energy Market Integrity and Transparency ("REMIT") entered into force on 28 December 2011. The Regulation is the first attempt to regulate EU trading in energy products which is not purely financial. REMIT introduces two fundamental prohibitions, on insider trading and market manipulation, and a series of disclosure and other obligations on companies active in the wholesale markets for electricity and gas in the EEA, which the Agency for Cooperation of European Regulators ("ACER") has been developing since, in consultation with various stakeholders. This book aims to offer a detailed yet clear guide for practitioners and in-house counsel faced with these issues, drawing on the available texts and experience so far. The book provides commentary on the Regulation, article by article and places it in the legal, economic and political context. In addition, the book describes the relationship between the REMIT and the European financial regulations, such as MAD, EMIR, MiFID II and MiFIR, which inspired its drafting. The book explains the interplay between the REMIT and EU Competition law with regard to the concept of market abuse and the obligation to disclose inside information. The book then provides an overview of the rules governing the trading on wholesale energy products in the United States, their scope, functioning, enforcement and a comparison with the corresponding provisions of the REMIT. A chapter is also dedicated to the economics behind the rules on market manipulation. Finally, the book contains a short discussion of the EU Commission's draft proposal for a Regulation on Indices Used as Benchmarks in Financial Instruments and Financial Contracts and its possible implications for the energy industry. This first edition of the book will be expanded periodically in further editions, as the case-law and practice develops.

Corporate Boards In Law And Practice

Author: Paul Davies
Publisher: OUP Oxford
ISBN: 0191015261
Size: 49.47 MB
Format: PDF, Mobi
View: 5393
Download and Read
Corporate boards play a central role in corporate governance and are thus regulated in the corporate law and corporate governance codes of all industrialized countries. Yet while there is a common core of rules on the boards considerable differences remain. These differences depend partly on shareholder structure, partly on historical, political and social developments and especially employee representation on the board. More recently, in particular with the rise of the international corporate governance code movement, there is a clear tendency towards convergence, at least in terms of the formal provisions of the codes. This book analyses the corporate boards, their regulation in law and codes and their actual functioning in ten European countries (Belgium, France, Germany, Italy, the Netherlands, Poland, Spain, Sweden, Switzerland and the United Kingdom). It offers the most up to date practical and analytical information on boards in Europe by leading company law experts. The issues addressed include: board structure, composition and functioning (one tier v. two tier, independent directors, expertise and diversity, separating the chair and the CEO functions, information streams, committees, voting and employee representation); enforcement by liability rules (in particular conflicts of interest), incentive structures (remuneration) and shareholder activism.

Market Abuse Enforcement

Author: Stuart Bazley
Publisher: Bloomsbury Professional
ISBN: 9781847665416
Size: 27.82 MB
Format: PDF, Kindle
View: 5669
Download and Read
This book is concerned with the interplay between the UK Financial Services Authority's (FSA) statutory powers to impose administrative law sanctions on persons that have engaged in abuse in the financial markets and the statutory system of Tribunal accountability provided by the UK's Financial Services and Markets Act 2000. The book provides a thorough analysis and assessment of both the law of market abuse and the operation of the Financial Services and Markets Tribunal (FSMT) and the Upper Tribunal (Tax and Chancery) (UT), following the implementation of the Tribunal, Courts and Enforcement Act 2007 in April 2010 when, as part of an improved and unified system of statutory Tribunals, the functions of the FSMT were transferred to the UT. The book captures the resulting changes to the Tribunal's governance and rules of procedure. It sets out to question whether the Tribunal has effectively held the FSA's enforcement decision-making to account and whether its individual case decision-making has provided a wider contribution to the law on market abuse. It includes an historical analysis of the law concerning market manipulation and insider dealing regulation. It also explores the relationship between the statutory definitions of behavior constituting market abuse and the source of the FSA's enforcement powers, together with those policy issues that shape how such powers are deployed. Additionally, the book offers a general analysis of concepts of accountability, allowing an appreciation of the framework of accountability within the Act, as well as the benefits and deficiencies of accountability provided by the courts when compared to those provided by a specialist Tribunal.