Verfügbarkeit: Market abuse and insider dealing | Technische Universität München

Market abuse and insider dealing:

Gespeichert in:

Bibliographische Detailangaben
Beteiligte Personen:	Rider, Barry Alexander K. 1952- (VerfasserIn), Alexander, Kern 1962- (VerfasserIn), Bazley, Stuart (VerfasserIn), Bryant, Jeffrey (VerfasserIn)
Format:	Buch
Sprache:	Englisch
Veröffentlicht:	London Bloomsbury Professional [2016]
Ausgabe:	3rd edition
Schlagwörter:	Recht Insidergeschäft Großbritannien
Links:	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
Umfang:	XLI, 414 pages 25 cm
ISBN:	9781780434957

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Datensatz im Suchindex

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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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author	Rider, Barry Alexander K. 1952- Alexander, Kern 1962- Bazley, Stuart Bryant, Jeffrey
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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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Verfügbarkeit

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Inhaltsverzeichnis