Market Abuse and Insider Dealing

4th Auflage
ISBN: 978-1-5265-0910-9
Verlag: Bloomsbury Academic

Buch, Englisch, 560 Seiten, Hardback, Format (B × H): 158 mm x 253 mm, Gewicht: 1044 g

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.

Autoren/Hrsg.

Rider, Barry

Alexander, Kern

Bazley, Stuart

Bryant, Jeffrey

Fachgebiete

• Rechtswissenschaften Wirtschaftsrecht Kapitalmarkt- und Wertpapierrecht
• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)
• Rechtswissenschaften Internationales Recht und Europarecht Europarecht Europäisches Handels-, Wirtschafts- und Gesellschaftsrecht, Währungsrecht

Inhaltsverzeichnis

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

Über Autor(innen)

Bryant, Jeffrey
Jeffrey Bryant is a Specialist Prosecutor at the Crown Prosecution Service, dealing with proceeds of crime work. At CPS POC, Jeffrey has brought proceedings on behalf of numerous foreign governments, has dealt with restraint cases where the alleged benefit was over £1bn, and was the reviewing lawyer in CPS POC in the leading Supreme Court case of R v Waya. Jeffrey won a Chief Constable's Commendation from Surrey Police for his role as reviewing lawyer in the first UK Bitcoin seizure.
Jeffrey is also the Principal Editor of Mitchell, Taylor and Talbot on Confiscation and the Proceeds of Crime and is a visiting lecturer on LLM courses at BPP University.

Bazley, Stuart
Stuart Bazley has worked in the financial services industry for over 25 years and is currently a consultant. He has also lectured and written extensively on financial services regulation and enforcement

Rider, Barry
Barry Rider is a Professorial Fellow in the Centre of Development Studies, University of Cambridge having taught law in Cambridge since 1976. He holds chairs at a number of other universities including Renmin, China, the Free State, South Africa and London where he was Director of the Institute of Advanced Legal Studies. He holds doctorates in law from the universities of Cambridge, London, Pennsylvania State and the Free State. He is also a member of the English Bar and a Master of the Bench of the Inner Temple. He has and continues to consult for a number of governments and inter-governmental organisations in the areas of integrity and financial regulation.

Alexander, Kern
Kern Alexander is Professor of Banking and Financial Market Regulation and Chair in Law and Finance at the University of Zurich.

Professor Barry Rider
Barry Rider is a Professorial Fellow in the Centre of Development Studies, University of Cambridge having taught law in Cambridge since 1976. He holds chairs at a number of other universities including Renmin, China, the Free State, South Africa and London where he was Director of the Institute of Advanced Legal Studies. He holds doctorates in law from the universities of Cambridge, London, Pennsylvania State and the Free State. He is also a member of the English Bar and a Master of the Bench of the Inner Temple. He has and continues to consult for a number of governments and inter-governmental organisations in the areas of integrity and financial regulation.

Professor Kern Alexander
Kern has led the international financial regulation project and served as Senior Research Fellow in Financial Regulation at the Centre for Financial Analysis & Policy in Cambridge since 2003. In 2009, he was appointed to the Professorial Chair for Law and Finance at the University of Zurich. In December 2009, Kern was appointed to a five-year term to the Financial Services Advisory Panel by the European Parliament Committee on Economic and Monetary Affairs as one of three 'academic specialist advisers' to advise the Committee on EU financial law and regulation. In this role, he advises Committee MEPs on a variety of legal and regulatory issues that relate to EU financial regulation, supervision and legislation. Further, he provided regulatory training and technical assistance on Basel II implementation for the Chinese Banking Regulatory Commission in 2007/2008.

Professor Stuart Bazley
Stuart has worked in the financial services industry for over 25 years gaining experience across a wealth management, stockbroking, banking and pensions. He is a visiting Professor in Financial Regulation and Compliance Law, BPP University Law School
He has lectured and written extensively on financial services and enforcement, including Market Abuse Enforcement: Practice and Procedure (Bloomsbury Professional) and co-authoring Financial Services Authority Regulation and Risk-based Compliance (Tottel/Bloomsbury Professional)

Jeffrey Bryant
Jeffrey Bryant is a Specialist Prosecutor at the Crown Prosecution Service, dealing with proceeds of crime work. At CPS POC, Jeffrey has brought proceedings on behalf of numerous foreign governments, has dealt with restraint cases where the alleged benefit was over £1bn, and was the reviewing lawyer in CPS POC in the leading Supreme Court case of R v Waya. Jeffrey won a Chief Constable's Commendation from Surrey Police for his role as reviewing lawyer in the first UK Bitcoin seizure.
Jeffrey is also the Principal Editor of Mitchell, Taylor and Talbot on Confiscation and the Proceeds of Crime and is a visiting lecturer on LLM courses at BPP University.