Market abuse and insider dealing:
Saved in:
| Main Authors: | , , , |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
London
Bloomsbury Professional
[2016]
|
| Edition: | 3rd edition |
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Physical Description: | XLI, 414 pages 25 cm |
| ISBN: | 9781780434957 |
Staff View
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Record in the Search Index
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|---|---|
| adam_text | CONTENTS
TABLE OF CASES XV
TABLE OF STATUTES XXXIII
TABLE OF STATUTORY INSTRUMENTS XLI
CHAPTER 1 THE NATURE OF INSIDER DEALING AND MARKET ABUSE 1
INSIDER DEALING IN PERSPECTIVE 1
WHAT IS INSIDER DEALING? 4
CHAPTER 2 INSIDER DEALING: THE CIVIL LAW 17
A WRONG TO THE MARKET OR THE COMPANY? 17
CONFLICTS OF INTEREST 18
SECRET PROFITS 20
LOSS TO THE INSIDER S COMPANY 22
A NARROW OBLIGATION 24
BENEFITING ANOTHER - A BREACH OF DUTY? 28
SHADOW DIRECTORS AND OTHERS 38
THE POSITION OF INVESTORS 39
ILLEGALITY AND PUBLIC POLICY 42
REMEDIES 43
CHAPTER 3 THE MAIN OFFENCES OF INSIDER DEALING - DEALING ON
THE BASIS OF INSIDE INFORMATION 47
THE LAW BEFORE 1980 47
THE OFFENCE OF INSIDER DEALING 51
INSIDERS 52
ENCOURAGING INSIDER DEALING 71
DISCLOURE OF INSIDE INFORMATION 71
TERRITORIAL SCOPE OF OFFENCES RELATING TO ENCOURAGEMENT AND DISCLOSURE
73
TIPPEE LIABILITY 73
SECONDARY PERSONS AND TIPPEE LIABILITY 74
THE FSMA 2000 AND TIPPEE LIABILITY 77
DEFENCES TO ALLEGATIONS OF INSIDER DEALING 77
CHAPTER 4 THE MARKET ABUSE REGIME 85
INTRODUCTION 85
THE EU MARKET ABUSE DIRECTIVE AND THE UK MARKET ABUSE REGIME 87
THE PRESCRIBED MARKETS 89
QUALIFYING INVESTMENTS 90
RELATED INVESTMENTS 91
PRESCRIBED MARKETS, QUALIFYING INVESTMENTS AND THE JABRE CASE 92
THE DUTY TO THE MARKET 93
WHAT CONSTITUTES MARKET ABUSE 94
MANIPULATING DEVICES 95
INSIDER AND INSIDE INFORMATION 95
INFORMATION THAT IS PRECISE AND HAS AN EFFECT ON PRICE 98
BEHAVIOUR 99
XI
CONTENTS
THE CODE OF MARKET CONDUCT (MAR) 99
THE MAR SPECIFYING BEHAVIOUR 101
BEHAVIOUR WHICH DOES NOT AMOUNT TO MARKET ABUSE 101
SAFE HARBOURS 102
SANCTIONS 106
REGULATORY POLICY AND THE MARKET ABUSE DIRECTIVE 106
UK IMPLEMENTATION 107
EU MARKET ABUSE REGULATION (EU MAR) 108
CHAPTER 5 FSMA CRIMINAL OFFENCES OF MARKET MANIPULATION 111
INTRODUCTION 111
MANIPULATION 112
UK CRIMINAL OFFENCES FOR MISLEADING STATEMENTS AND PRACTICES 113
MARKET DISTORTION AND MARKET MANIPULATION 116
ABUSIVE SQUEEZES 116
FC A PROSECUTION 117
EU MARKET ABUSE REGULATION AND MARKET MANIPULATION 118
BUYBACKS AND PRICE STABILISATION 119
ANALYSIS AND CONCLUSION 120
CHAPTER 6 FRAUD AND FINANCIAL CRIME 123
INTRODUCTION 123
THE CREATION OF FALSE MARKETS 127
THE COMMON LAW 128
THE FAIR PRICE 130
CONSPIRACY 131
ENFORCING THE BARGAIN 132
FRAUD (BY REPRESENTATION OR CONDUCT) 134
REQUISITE STATE OF MIND - MENS REA 135
PROOF OF DISHONESTY AND FRAUDULENT INTENTION 136
MISREPRESENTATION BY WORDS OR CONDUCT 137
SILENCE 138
CONCEALMENT 139
CRIMINAL BREACH OF TRUST (CBT) 140
MISAPPROPRIATION (INCLUDING THEFT) 142
REQUISITE STATE OF MIND - MENS REA 144
FALSE STATEMENTS AND MANIPULATION 146
HIGH PRESSURE SELLING 147
FRAUDULENT TRADING AND INSOLVENCY RELATED OFFENCES 148
RECKLESS MANAGEMENT OF BANKS 153
BLACKMAIL AND EXTORTION 155
COMPUTER-RELATED CRIME 156
CORRUPTION 157
FALSE REPORTING 160
FORGERY AND THE RELIABILITY OF DOCUMENTATION 162
ACTS PREPARATORY TO FRAUD 164
PERJURY AND FALSE DECLARATIONS 167
CIVIL FRAUD 168
DISCLOSURE ORDERS AND FREEZING ORDERS 171
DISQUALIFICATION PROCEDURES 175
OFFENCES BY BODIES CORPORATE 177
CONCLUSION 178
XN
CONTENTS
CHAPTER 7 ANTI-MONEY LAUNDERING AND PROCEEDS OF CRIME 179
THE CORPORATE AND FINANCIAL DIMENSION 179
MONEY LAUNDERING IN CONTEXT 182
PROCEEDS OF CRIME 185
MONEY LAUNDERING LIABILITY IN THE CIVIL LAW 197
NAUGHTY KNOWLEDGE AND MENS REA 200
COMPLIANCE 202
CONFISCATION 205
TERRORIST FINANCE 212
CHAPTER 8 CONFLICTS OF INTEREST 219
A FUNDAMENTAL RULE 219
DIRECTORS AND THEIR DUTY OF LOYALTY 220
MULTIPLE APPOINTMENTS 222
MODIFICATION OF DUTIES 223
OTHER FIDUCIARIES 226
CONTRACTING OUT 229
INFORMED CONSENT 231
A CASE AT LAST! 233
CONFLICTS COMPLIANCE AND THE REGULATORY ENVIRONMENT 234
CHAPTER 9 ISSUER DISCLOSURE AND LIABILITY 243
DISCLOSURE AND THE ISSUER 243
DISCLOSURE OBLIGATIONS 243
DELAYED DISCLOSURE 246
SELECTIVE DISCLOSURE 248
MANAGERIAL DISCLOSURES 249
SAFE HARBOURS 249
ISSUER DISCLOSURE AND THIRD PARTY LISTS 249
ISSUER AND SENIOR OFFICER LIABILITY 250
PROFESSIONAL DISCLOSURE REQUIREMENTS 250
PROFESSIONALS AND CONFIDENTIALITY 251
FCA FAVOURS ENHANCED DISCLOSURE 251
ISSUER S DISCLOSURE DECISION TREE 252
TAKEOVERS 252
GENERAL PRINCIPLES 252
THE TAKEOVER PANEL S POWERS 252
THE FCA S ROLE 254
MARKET ABUSE 255
ACTUAL OR POTENTIAL OFFERORS 255
CHAPTER 10 INFORMATION GATHERING 257
INTRODUCTION 257
GENERAL REPORTING AND THE OBLIGATION TO COOPERATE 258
THE FCA S STATUTORY INFORMATION GATHERING 267
CHAPTER 11 INVESTIGATIONS 273
INTRODUCTION 273
INVESTIGATIONS AND TRANSPARENCY 273
POWERS OF INVESTIGATION 276
CONFIDENTIALITY 285
SANCTIONS FOR FAILING TO COMPLY WITH AN INVESTIGATION 286
CRITERIA FOR ENFORCEMENT ACTION 286
CASE SELECTION BY THE FCA 286
XIII
CONTENTS
CHAPTER 12 ENFORCEMENT ISSUES 289
INTRODUCTION 289
SANCTIONS FOR MARKET ABUSE 290
PRINCIPLES BASED ENFORCEMENT 293
STATEMENTS AND PENALTIES 305
ENFORCEMENT AND THE IMPACT ON BUSINESS PERMISSIONS 313
APPLICATIONS TO THE COURT 314
CHAPTER 13 COMPLIANCE PROCEDURES AND SYSTEMS 319
INTRODUCTION 319
AUTHORISATION, GOVERNANCE, SENIOR MANAGEMENT AND COMPLIANCE 320
GOVERNANCE AND THE NEED FOR POLICY, PROCESS, AND PROCEDURE 323
THE COMPLIANCE FUNCTION AND REGULATORY CHARACTERISTICS 325
AUTHORISED FIRMS OBLIGATION TO MAINTAIN RECORDS 331
TRANSACTION RECORDS AND ELECTRONIC COMMUNICATIONS 332
COMPLIANCE AND CONFLICTS MANAGEMENT, INFORMATION BARRIERS
AND DEALING CONTROLS 333
PERSONAL ACCOUNT DEALING RULES 335
CHAPTER 14 PERSONAL LIABILITY OF SENIOR MANAGERS AND
COMPLIANCE OFFICERS 339
PERSONAL RESPONSIBILITY 339
THE ROLE OF THE LAW 340
THE DUTY OF FIDELITY 342
CONTRACT AND TORT 343
ACCESSORY LIABILITY IN EQUITY 346
PERSONAL CRIMINAL LIABILITY 352
CRIMINAL PROCEEDINGS 353
SENTENCING POLICY 354
REGULATORY LIABILITY AND APPROVED PERSONS 358
CHAPTER 15 CONTROL LIABILITY 365
RESPONSIBILITY AND CONTROL 365
VICARIOUS LIABILITY IN THE CRIMINAL LAW 366
VICARIOUS LIABILITY IN THE LAW OF TORT 367
VICARIOUS RESPONSIBILITY IN RESTITUTION 369
DIRECTORS* KNOWLEDGE 371
FINANCIAL SERVICES REGULATION AND CONTROL LIABILITY 373
CONTROL LIABILITY AND AUTHORISATION 375
APPROVED PERSONS 376
LIABILITY WHEN ACTING WITHOUT APPROVAL 379
SIGNIFICANT MANAGEMENT REGIME AND CERTIFIED PERSONS 379
CHAPTER 16 THE IMPACT OF OTHER LAWS: DOMESTIC AND OVERSEAS 383
INTRODUCTION 383
IMPACT OF EU LAW ON MARKET ABUSE AND COOPERATION IN
INVESTIGATIONS AND ENFORCEMENT 384
EXTRA-TERRITORIAL APPLICATION OF US SECURITIES LAWS, FOREIGN ISSUERS
AND ANTI-FRAUD PROVISIONS 386
IOSCO AND UK EFFORTS AT INTERNATIONAL COOPERATION 393
CONCLUSION 396
INDEX 399
XIV
|
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| spelling | Rider, Barry Alexander K. 1952- (DE-588)1089379048 aut Market abuse and insider dealing by professor Barry Rider, professor Kern Alexander, Stuart Bazley, Jeffrey Bryant 3rd edition London Bloomsbury Professional [2016] © 2016 XLI, 414 pages 25 cm txt rdacontent n rdamedia nc rdacarrier Recht (DE-588)4048737-4 gnd rswk-swf Insidergeschäft (DE-588)4114025-4 gnd rswk-swf Großbritannien (DE-588)4022153-2 gnd rswk-swf Großbritannien (DE-588)4022153-2 g Insidergeschäft (DE-588)4114025-4 s Recht (DE-588)4048737-4 s DE-604 Alexander, Kern 1962- Verfasser (DE-588)143731734 aut Bazley, Stuart aut Bryant, Jeffrey aut SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028901166&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Rider, Barry Alexander K. 1952- Alexander, Kern 1962- Bazley, Stuart Bryant, Jeffrey Market abuse and insider dealing Recht (DE-588)4048737-4 gnd Insidergeschäft (DE-588)4114025-4 gnd |
| subject_GND | (DE-588)4048737-4 (DE-588)4114025-4 (DE-588)4022153-2 |
| 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 professor Barry Rider, professor Kern Alexander, Stuart Bazley, Jeffrey Bryant |
| title_fullStr | Market abuse and insider dealing by professor Barry Rider, professor Kern Alexander, Stuart Bazley, Jeffrey Bryant |
| title_full_unstemmed | Market abuse and insider dealing by professor Barry Rider, professor Kern Alexander, Stuart Bazley, Jeffrey Bryant |
| title_short | Market abuse and insider dealing |
| title_sort | market abuse and insider dealing |
| topic | Recht (DE-588)4048737-4 gnd Insidergeschäft (DE-588)4114025-4 gnd |
| topic_facet | Recht Insidergeschäft Großbritannien |
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