Market Abuse Enforcement Practice And Procedure
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Author |
: Stuart Bazley |
Publisher |
: Bloomsbury Publishing |
Total Pages |
: 387 |
Release |
: 2013-02-28 |
ISBN-10 |
: 9781847665416 |
ISBN-13 |
: 1847665411 |
Rating |
: 4/5 (16 Downloads) |
Synopsis Market Abuse Enforcement: Practice and Procedure by : Stuart Bazley
This new title is concerned with the interplay between the Financial Services Authority's ('FSA') statutory powers to impose administrative law sanctions on persons that have engaged in abuse in the financial markets and the statutory system of Tribunal accountability provided by the Financial Services and Markets Act 2000 ('the Act'). It provides a thorough analysis and assessment of both the law of market abuse and the operation of the Financial Services and Markets Tribunal ('FSMT') and the Upper Tribunal (Tax and Chancery) ('UT') following the implementation of the Tribunal, Courts and Enforcement Act 2007 in April 2010 when as part of an improved and unified system of statutory Tribunals the functions of the FSMT were transferred to the UT. This book captures the resulting changes to the Tribunal's governance and rules of procedure. It sets out to question whether the Tribunal has effectively held the FSA's enforcement decision making to account and whether its individual case decision making has provided a wider contribution to the law on market abuse. Includes: An historical analysis of the law concerning market manipulation and insider dealing regulation; Explores the relationship between the statutory definitions of behaviour constituting market abuse and the source of the FSA's enforcement powers together with those policy issues that shape how such powers are deployed; A general analysis of concepts of accountability allowing an appreciation of the framework of accountability within the Act as well as the benefits and deficiencies of accountability provided by the Courts when compared to those provided by a specialist Tribunal.
Author |
: Edward J. Swan |
Publisher |
: Oxford University Press, USA |
Total Pages |
: 0 |
Release |
: 2006 |
ISBN-10 |
: 1904501303 |
ISBN-13 |
: 9781904501305 |
Rating |
: 4/5 (03 Downloads) |
Synopsis Market Abuse Regulation by : Edward J. Swan
Grace Kelly and Ray Milland star in Alfred Hitchcock's classic thriller adapted from the play by Frederick Knott. Former tennis pro Tony Wendice (Milland) hatches a cunning plot to get rid of his socialite wife, Margot (Kelly), when he discovers that she has been having an affair with author Mark Halliday (Robert Cummings). Wendice blackmails a corrupt former schoolmate into murdering her, but the man bungles the job, and Margot, having killed her would-be assailant in self-defence, then finds herself under suspicion of premeditated murder...
Author |
: American Bar Association. House of Delegates |
Publisher |
: American Bar Association |
Total Pages |
: 216 |
Release |
: 2007 |
ISBN-10 |
: 1590318730 |
ISBN-13 |
: 9781590318737 |
Rating |
: 4/5 (30 Downloads) |
Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author |
: Andri Fannar Bergþórsson |
Publisher |
: BRILL |
Total Pages |
: 326 |
Release |
: 2018-08-13 |
ISBN-10 |
: 9789004366657 |
ISBN-13 |
: 9004366652 |
Rating |
: 4/5 (57 Downloads) |
Synopsis What is Market Manipulation? by : Andri Fannar Bergþórsson
The Market Abuse Regulation (MAR) entered into force in 2016 within the European Union, which introduced a fully harmonized ban on market manipulation. Even though the regulation is quite detailed, the terms used to define market manipulation are relatively vague and open-ended. In What Is market manipulation? Dr. Andri Fannar Bergþórsson offers unique insight to and an interpretation of the concept of market manipulation, which includes an analysis of case law from the Nordic countries. The aim of the book is to clarify the concept as described in MAR and to provide readers some guidelines to distinguish between lawful behaviour and market manipulation (the unlawful behaviour). Bergþórsson convincingly argues that misinformation is an essential element of all forms of market manipulation.
Author |
: Barry Rider |
Publisher |
: Bloomsbury Publishing |
Total Pages |
: 557 |
Release |
: 2022-10-28 |
ISBN-10 |
: 9781526509123 |
ISBN-13 |
: 1526509121 |
Rating |
: 4/5 (23 Downloads) |
Synopsis Market Abuse and Insider Dealing by : Barry Rider
Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness. With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be classified as market abuse is becoming increasingly fine. This raises questions about communications between financial institutions and investors, and about corporate and analyst access. Market Abuse and Insider Dealing provides guidance on and explanation of the range of potential legal and regulatory responses to this complex area of law. Providing a thorough analysis and assessment of the law relating to market abuse and insider dealing, the new fourth edition includes: - analysis of the impact of Brexit - significant new case law and legislation including MiFID II; Money Laundering Regulations 2017; the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; Criminal Finances Act 2017 with Unexplained Wealth Orders; The Fifth Money Laundering Directive - the new Corporate Governance Code - new content on: control and senior managers' responsibility/liability; the FCAs competition law jurisdiction where it is appropriate to do so in relation to market abuse; a new table of UK decided market abuse cases This title is included in Bloomsbury Professional's Banking and Finance Law online service.
Author |
: Barry Rider |
Publisher |
: Edward Elgar Publishing |
Total Pages |
: 851 |
Release |
: 2015-11-27 |
ISBN-10 |
: 9781783475797 |
ISBN-13 |
: 178347579X |
Rating |
: 4/5 (97 Downloads) |
Synopsis Research Handbook on International Financial Crime by : Barry Rider
A significant proportion of serious crime is economically motivated. Almost all financial crimes will be either motivated by greed, or the desire to cover up misconduct. This Handbook addresses financial crimes such as fraud, corruption and money laundering, and highlights both the risks presented by these crimes, as well as their impact on the economy. The contributors cover the practical issues on the topic on a transnational level, both in terms of the crimes and the steps taken to control them. They place an emphasis on the prevention, disruption and control of financial crime. They discuss, in eight parts, the nature and characteristics of economic and financial crime, The enterprise of crime, business crime, the financial sector at risk, fraud, corruption, The proceeds of financial and economic crime, and enforcement and control. Academics interested in criminology, law, as well as business and legal studies students will find this book to be an invaluable resource. Practitioners, including lawyers, compliance and risk managements, law enforcement officers, and policy makers will also find the points raised to be of use.
Author |
: United States. Securities and Exchange Commission. Division of Enforcement |
Publisher |
: |
Total Pages |
: 144 |
Release |
: 2008 |
ISBN-10 |
: STANFORD:36105063760578 |
ISBN-13 |
: |
Rating |
: 4/5 (78 Downloads) |
Synopsis Enforcement Manual by : United States. Securities and Exchange Commission. Division of Enforcement
Author |
: Marco Ventoruzzo |
Publisher |
: Oxford University Press, USA |
Total Pages |
: 0 |
Release |
: 2017 |
ISBN-10 |
: 0198811756 |
ISBN-13 |
: 9780198811756 |
Rating |
: 4/5 (56 Downloads) |
Synopsis Market Abuse Regulation by : Marco Ventoruzzo
This book analyses the European market abuse regime contained in the Market Abuse Regulation (MAR) and related directives and regulations. Written by leading scholars in the field of capital market law from a number of European jurisdictions, the book is divided into two main parts. The first consists of chapters considering relevant issues by topic; whilst the second provides the first article-by-article commentary on the Regulation, with a detailed and technical analysis of its terms. In the first part guidance is arranged by topic and includes aspects not directly addressed by MAR such as enforcement, and the impact of US securities regulation. As well as considering the sources of market abuse regulation in general, this first part also examines its theoretical and economic framework in order to provide better understanding of the Regulation itself.
Author |
: Barry Rider |
Publisher |
: Edward Elgar Publishing |
Total Pages |
: 217 |
Release |
: 2022-12-06 |
ISBN-10 |
: 9781802201345 |
ISBN-13 |
: 1802201343 |
Rating |
: 4/5 (45 Downloads) |
Synopsis A Research Agenda for Financial Crime by : Barry Rider
In this timely Research Agenda, Barry Rider has assembled a cast of internationally renowned experts to identify the most pressing questions and issues around financial crime, helping to inform our understanding of how best to protect our economies and financial institutions.
Author |
: Edgardo Rotman |
Publisher |
: Bloomsbury Publishing |
Total Pages |
: 349 |
Release |
: 2021-02-25 |
ISBN-10 |
: 9781509943203 |
ISBN-13 |
: 150994320X |
Rating |
: 4/5 (03 Downloads) |
Synopsis Regulating Fraud Across Borders by : Edgardo Rotman
This book provides a uniquely comparative approach to the examination of financial crime regulation. At a time when financial crime routinely crosses international boundaries, this book provides a novel understanding of its spread and criminalisation. It traces the international convergence of financial crime regulation with a uniquely comparative approach that examines key institutional and state actors including the European Union, the International Organization of Securities Commissions, as well as the United States, the United Kingdom, Switzerland, France, Italy and Germany, all countries that harbour some of the most influential stock exchanges in the Western world. The book describes and documents the phenomenon of internationalisation of securities frauds – such as insider trading and market manipulation – and the laws criminalising those acts, most notably those responding to recent dramatic transformations in securities markets, high frequency trading, and benchmark manipulation. At the European level, it shows the progressive uniformisation of laws culminating in the 2014 European Union Market Abuse Regulation. The book argues that criminal prohibitions against internationalised market abuse must be understood as an economic and legal imperative to protect financial markets against activities that imperil its integrity, compromising the confidence of investors and thus affecting the economy as a whole. The book is supported by an extensive review of the most significant scholarship in each country.