Market abuse regulation

著者

書誌事項

Market abuse regulation

Edward J. Swan and John Virgo

Oxford University Press, 2010

2nd ed

大学図書館所蔵 件 / 全8件

この図書・雑誌をさがす

注記

Previous ed.: c2006

Includes index

内容説明・目次

内容説明

The second edition of Market Abuse Regulation offers a detailed analysis of the market abuse regime and the application of the regulations in the UK and EU. The work is of great value to financial services lawyers and companies who need a succinct, comprehensive and up to date analysis of the regime and the implications for their businesses. Consideration is given to the implementation and interpretation of the regulations, the conduct of investigations, the defences and appeals available against a finding of market abuse, and overlapping US regulation. Since the implementation of the EU Market Abuse Directive in the UK dates only from 2005, detailed consideration is given to the important enforcement policy decisions and market abuse cases which have been recently decided by the FSA and referred to the Financial Services Markets Tribunal. In particular, the new edition examines the modifications to enforcement procedures by the FSA, the move towards a more 'principles-based' approach to enforcement and the increased focus on senior management liability.

目次

  • Introduction
  • 1. Evolving Regulation
  • 2. Promoting Fair Markets
  • 3. Defining Market Abuse
  • 4. Insider Dealing
  • 5. Market Manipulation
  • 6. Interpretation
  • 7. Scope of Coverage
  • 8. Judging Behaviour
  • 9. Enforcement Procedure
  • 10. Penalties
  • 11. Defences
  • 12. Hearing and Appeals
  • 13. Criminal Law
  • 14. Market Abuse Cases
  • 15. Overlapping US Regulation
  • 16. Conclusion

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