Market Abuse and Insider Dealing

3rd Auflage
ISBN: 978-1-78043-495-7
Verlag: Bloomsbury

Buch, Englisch, 464 Seiten, Hardback, Format (B × H): 156 mm x 248 mm, Gewicht: 897 g

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).

Autoren/Hrsg.

Rider, Barry

Alexander, Kern

Bazley, Stuart

Bryant, Jeffrey

Fachgebiete

• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)

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)

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

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

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.

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.

Professor Barry Rider OBE has taught law in the University of Cambridge since 1976. He is currently a Professorial Fellow in the Center of Development Studies. He also holds professorial and other senior offices at a number of other universities including Renmin University, China, BPP University and the University of London. He has also served as a civil servant responsible for a special intelligence and mutual assistance unit within an inter-governmental organisations and has worked closely with numerous regulatory, investigative and prosecuting agencies around the world. He is a master of the Bench of the Inner Temple.

Professor Kern Alexander, Chair for Banking and Financial Market Law, University of Zurich, and Professorial Fellow in Financial Regulation, Centre for Risk Studies, University of Cambridge. Formerly, the Specialist Adviser to the Parliamentary Joint Select Committee on the Financial Services Act 2012, and Member of the Expert Panel on Financial Services for the European Parliament (2009-14).

Stuart Bazley works as a regulatory consultant specialising in compliance remediation and investigations and is the co-director of the LLM in Financial Regulation and Compliance at BPP University College.

Jeffrey Bryant is an employed barrister in the Crown Prosecution Service, where he is a Specialist Prosecutor and Crown Advocate in the Proceeds of Crime Service. Jeffrey was the reviewing lawyer in the leading Supreme Court case of R v Waya [2013] 1 A.C. 294 on proportionality in the Proceeds of Crime Act 2002 and has had oversight of all proportionality arguments in the appeal courts since, including the Supreme Court cases of R v Ahmad [2015] 1 A.C. 299 and the forthcoming R v Harvey. Jeffrey also specialises in mutual legal assistance and has acted on behalf of numerous overseas governments freezing assets in England and Wales. Jeffrey is a visiting lecturer on LL.M. courses at BPP University and has been a contributing editor, since 2003, to the leading work Mitchell, Taylor and Talbot on Confiscation and the Proceeds of Crime.