Market abuse and insider dealing
著者
書誌事項
Market abuse and insider dealing
Bloomsbury Professional, c2016
3rd ed
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注記
Editors: Kern Alexander, Stuart Bazley, Jeffrey Bryant
Previous edition: Haywards Heath : Tottel Publishing, 2009
Includes bibliographical references and index
内容説明・目次
内容説明
Market Abuse and Insider Dealing, 3rd edition provides a comprehensive exposition of the law of insider dealing and market abuse, including analysis of the interplay between UK Criminal law and Administrative law regulation of abusive behaviour in the UK financial markets.
The title covers areas including:
Insider dealing - the civil law;
The main offences for insider dealing;
Market abuse - regulatory discipline and the civil law;
Fraud offences as they relate to market abuse;
Money laundering and market abuse;
Conflicts of interest;
The liability of issuers of securities in respect of disclosure and inside information;
Information gathering, market surveillance, investigations and enforcement;
Compliance systems and controls and control liability.
Includes the following legislation and case law:
Financial Services Act 2012;
New Financial Conduct Authority;
New EU Market Abuse Regulation;
MiFID II (Markets in Financial Instruments Directive).
目次
Chapter 1 The nature of insider dealing and market abuse
Chapter 2 Insider dealing: the civil law
Chapter 3 The main offences of insider dealing - dealing on the basis of inside information
Chapter 4 The market abuse regime
Chapter 5 FSMA criminal offences of market manipulation
Chapter 6 Fraud and financial crime
Chapter 7 Anti-money laundering and proceeds of crime
Chapter 8 Conflicts of interest
Chapter 9 Issuer disclosure and liability
Chapter 10 Information gathering
Chapter 11 Investigations
Chapter 12 Enforcement issues
Chapter 13 Compliance procedures and systems
Chapter 14 Personal liability of senior managers and compliance officers
Chapter 15 Control liability
Chapter 16 The impact of other laws: domestic and overseas
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