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出版Bloomsbury Academic, 2016-01-01
主題Law / Banking
ISBN17804349529781780434957
URLhttp://books.google.com.hk/books?id=jd66CwAAQBAJ&hl=&source=gbs_api
註釋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. Contents: Chapter 1: Introduction Chapter 2: Insider dealing - the civil law Chapter 3: The main offences for insider dealing Chapter 4: Market abuse - regulatory discipline and the civil law Chapter 5: Market abuse Chapter 6: The FISMA 'fraud offences' Chapter 7: General offences Chapter 8: Anti money laundering Chapter 9: Conflicts of interest Chapter 10: Issuer liability Chapter 11: Information gathering Chapter 12: FCA investigations Chapter 13: Enforcement issues Chapter 14: Compliance procedures and systems Chapter 15: Personal liability of senior manager and compliance officers Chapter 16: Control liability Chapter 17: Extra-territorial issues as they impact on the UK Chapter 18: Extra-territorial reach of UK laws 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). Previous print edition ISBN: 9781847661357