Market abuse and insider dealing:
Saved in:
| Format: | Book |
|---|---|
| Language: | English |
| Published: |
Haywards Heath
Tottel Publ.
2009
|
| Edition: | 2. ed. |
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Physical Description: | XXVIII, 286 S. |
| ISBN: | 9781847661357 |
Staff View
MARC
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Record in the Search Index
| _version_ | 1804138647141744640 |
|---|---|
| adam_text | CONTENTS TABLE OF CASES XIII TABLE OF STATUTES XXIII CHAPTER 1 THE
NATURE OF INSIDER DEALING AND MARKET ABUSE 1 INSIDER DEALING IN
PERSPECTIVE 1 WHAT IS INSIDER DEALING? 3 CHAPTER 2 INSIDER DEALING: THE
CIVIL LAW 17 A WRONG TO THE MARKET OR THE COMPANY? 17 CONFLICTS OF
INTEREST 18 SECRET PROFITS 19 LOSS TO THE INSIDER S COMPANY 21 A NARROW
OBLIGATION 23 BENEFITING ANOTHER - A BREACH OF DUTY? 26 SHADOW DIRECTORS
AND OTHERS 33 THE POSITION OF INVESTORS 34 ILLEGALITY AND PUBLIC POLICY
37 REMEDIES 38 CHAPTER 3 THE MAIN OFFENCES OF INSIDER DEAHNG-DEALING ON
THE BASIS OF INSIDE INFORMATION 43 THE LAW BEFORE 1980 43 THE OFFENCE OF
INSIDER DEALING 45 ENCOURAGING INSIDER DEALING 57 TIPPEE LIABILITY 58
SECONDARY PERSONS AND TIPPEE LIABILITY 59 US INSIDER TRADING LAW 61 THE
FSMA 2000 AND TIPPEE LIABILITY 63 PRACTICAL APPLICATIONS OF TIPPEE
LIABILITY UNDER UK LAW 63 DEFENCES TO ALLEGATIONS OF INSIDER DEALING 65
CHAPTER 4 THE MARKET ABUSE REGIME 71 INTRODUCTION 71 THE EU MARKET ABUSE
DIRECTIVE AND THE UK MARKET ABUSE REGIME 72 THE PRESCRIBED MARKETS 73
QUALIFYING INVESTMENTS 74 RELATED INVESTMENTS 75 PRESCRIBED MARKETS,
QUALIFYING INVESTMENTS AND THE JABRE CASE 76 THE DUTY TO THE MARKET 77
WHAT CONSTITUTES MARKET ABUSE 78 INSIDER AND INSIDE INFORMATION 78
INFORMATION THAT IS PRECISE AND HAS AN EFFECT ON PRICE 80 BEHAVIOUR
80 THE CODE OF MARKET CONDUCT 81 THE CODE SPECIFYING BEHAVIOUR 82
BEHAVIOUR WHICH DOES NOT AMOUNT TO MARKET ABUSE 82 IX CONTENTS SAFE
HARBOURS 3 SANCTIONS ~* REGULATORY POLICY AND THE MARKET ABUSE
DIRECTIVE 8 6 UK IMPLEMENTATION 8 6 CHAPTER 5 FSMA CRIMINAL OFFENCES OF
MARKET MANIPULATION 89 INTRODUCTION 89 MANIPULATION 90 UK CRIMINAL
OFFENCES FOR MISLEADING STATEMENTS AND ACTS 90 DEFENCES 92 MARKET
DISTORTION AND MARKET MANIPULATION 92 ABUSIVE SQUEEZES 93 FSA
PROSECUTION 93 THE ATT CASE AND SECTION 397 94 CIVIL SANCTIONS 94
ANALYSIS AND CONCLUSION 94 CHAPTER 6 FRAUD AND FINANCIAL CRIME 97
INTRODUCTION 97 THE CREATION OF FALSE MARKETS 99 THE COMMON LAW 99 THE
FAIR PRICE 101 CONSPIRACY 102 ENFORCING THE BARGAIN 103 FRAUD (BY
REPRESENTATION OR CONDUCT) 105 REQUISITE STATE OF MIND - MENS REA 106
PROOF OF DISHONESTY AND FRAUDULENT INTENTION 107 MISREPRESENTATION BY
WORDS OR CONDUCT 107 SILENCE 108 CONCEALMENT 110 CRIMINAL BREACH OF
TRUST (CBT) 111 MISAPPROPRIATION (INCLUDING THEFT) 113 FALSE STATEMENTS
AND MANIPULATION 116 HIGH PRESSURE SELLING 117 FRAUDULENT TRADING AND
INSOLVENCY RELATED OFFENCES 118 BLACKMAIL AND EXTORTION 123
COMPUTER-RELATED CRIME 124 CORRUPTION 125 FALSE REPORTING 127 FORGERY
AND THE RELIABILITY OF DOCUMENTATION 130 ACTS PREPARATORY TO FRAUD 132
PERJURY AND FALSE DECLARATIONS 134 CIVIL FRAUD 135 DISCLOSURE ORDERS AND
FREEZING ORDERS 137 DISQUALIFICATION PROCEDURES 141 OFFENCES BY BODIES
CORPORATE 143 CONCLUSION 144 CHAPTER 7 ANTI-MONEY LAUNDERING 145 THE
CORPORATE AND FINANCIAL DIMENSION 145 MONEY LAUNDERING IN CONTEXT 147
PROCEEDS OF CRIME 150 TERRORIST FINANCE 156 CONTENTS MONEY LAUNDERING
LIABILITY IN THE CIVIL LAW NAUGHTY KNOWLEDGE AND MENS REA COMPLIANCE
CHAPTER 8 CONFLICTS OF INTEREST A FUNDAMENTAL RULE DIRECTORS AND THEIR
DUTY OF LOYALTY MULTIPLE APPOINTMENTS MODIFICATION OF DUTIES OTHER
FIDUCIARIES CONTRACTING OUT INFORMED CONSENT A REAL CASE! CONFLICTS,
COMPLIANCE AND THE REGULATORY ENVIRONMENT CHAPTER 9 FSA INVESTIGATIONS
INTRODUCTION INVESTIGATIONS AND INFORMATION GATHERING NOTIFICATION OF
THE INVESTIGATION SPECIAL CASES OF INVESTIGATION CONFIDENTIALITY
ENFORCEMENT OF INVESTIGATIONS PRELIMINARY FINDINGS LETTER DISCIPLINARY
POWERS, CRITERIA FOR DISCIPLINARY ACTION CASE SELECTION BY THE FSA
CHAPTER 10 ENFORCEMENT ISSUES INTRODUCTION SANCTIONS FOR MARKET ABUSE
PRINCIPLES BASED ENFORCEMENT THE FS A S ENFORCEMENT OF DECISION MAKING
REGULATORY DECISIONS COMMITTEE WARNING NOTICE AND REPRESENTATIONS ACCESS
TO FSA MATERIAL DECISION NOTICE AND NOTICE OF DISCONTINUANCE THIRD PARTY
RIGHTS REFERRAL TO THE FINANCIAL SERVICES AND MARKETS TRIBUNAL FINAL
NOTICE PUBLICATION PENALTIES AND STATEMENTS FINANCIAL PENALTY OR
STATEMENT OF MISCONDUCT SETTLEMENT AND MEDIATION DETERMINING THE LEVEL
OF FINANCIAL PENALTY REMOVAL OR VARIATION OF BUSINESS PERMISSIONS
APPLICATIONS TO THE COURT INJUNCTIONS PROHIBITORY INJUNCTION MANDATORY
INJUNCTION FREEZING ORDER FACTORS THE FSA MAY CONSIDER IN DETERMINING
WHETHER TO SEEK INJUNCTIONS RESTITUTION ORDERS ACTIONS IN DAMAGES
ARISING FROM ENFORCEMENT 158 160 161 163 163 163 166 166 170 172 174 176
177 185 185 187 198 199 201 201 203 203 203 205 205 206 206 209 210 211
212 213 213 216 221 221 222 223 223 224 225 226 226 226 227 227 227 227
229 XI CONTENTS PROSECUTION OF CRIMINAL OFFENCES 231 REFERRALS TO THE
SERIOUS FRAUD OFFICE 231 SECTION 2 OF THE CRIMINAL JUSTICE ACT 1987 232
CHAPTER 11 ISSUER DISCLOSURE 233 DISCLOSURE AND THE ISSUER 233
DISCLOSURE OBLIGATIONS 233 DELAYED DISCLOSURE 234 SELECTIVE DISCLOSURE
235 MANAGERIAL DISCLOSURES 235 SAFE HARBOURS 235 ISSUER DISCLOSURE AND
THIRD PARTY LISTS 236 ISSUER AND SENIOR OFFICER LIABILITY 236
PROFESSIONAL DISCLOSURE REQUIREMENTS 237 PROFESSIONALS AND
CONFIDENTIALITY 237 FSA FAVOURS ENHANCED DISCLOSURE 238 ISSUER S
DISCLOSURE DECISION TREE 238 TAKEOVERS 240 GENERAL PRINCIPLES 240 THE
TAKEOVER PANEL S POWERS 240 THE FSA S ROLE 241 MARKET ABUSE 241 ACTUAL
OR POTENTIAL OFFERERS 241 CHAPTER 12 COMPLIANCE 243 INTRODUCTION 243
COMPLIANCE ARRANGEMENT SYSTEMS AND CONTROLS 244 ENTERING INTO PERSONAL
TRANSACTIONS 250 THE COMPLIANCE FUNCTION 253 RISK-BASED COMPLIANCE 258
CHAPTER 13 THE IMPACT OF OTHER LAWS: DOMESTIC AND OVERSEAS 263
INTRODUCTION 263 IMPACT OF EU LAW ON MARKET ABUSE AND CO-OPERATION IN
INVESTIGATIONS AND ENFORCEMENT 264 EXTRA-TERRITORIAL APPLICATION OF US
SECURITIES LAWS, FOREIGN ISSUERS AND ANTI-FRAUD PROVISIONS 266 IOSCO AND
UK EFFORTS AT INTERNATIONAL CO-OPERATION 271 CONCLUSION 274 INDEX 277
XLL
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| title | Market abuse and insider dealing |
| title_auth | Market abuse and insider dealing |
| title_exact_search | Market abuse and insider dealing |
| title_full | Market abuse and insider dealing by Barry Rider ... |
| title_fullStr | Market abuse and insider dealing by Barry Rider ... |
| title_full_unstemmed | Market abuse and insider dealing by Barry Rider ... |
| title_short | Market abuse and insider dealing |
| title_sort | market abuse and insider dealing |
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