Insider Dealing: Law and Practice, second edition, provides a thorough, practical and straightforward guide to this complex area of law, covering both the criminal and civil regimes, treatment of recent cases and developments, investigation, enforcement, penalties and sentencing.
Insider Dealing: Law and Practice, second edition, provides a thorough, practical and straightforward guide to this complex area of law, covering both the criminal and civil regimes, treatment of recent cases and developments, investigation, enforcement, penalties and sentencing.
Sarah Clarke QC is a barrister at Serjeant's Inn Chambers. She was previously a Technical Specialist and In-House Counsel in the Financial Services Authority's Enforcement Division, where she led teams and advised on investigations, evidence, powers and regulatory law and procedure.
Inhaltsangabe
* 1: Introduction to Insider Dealing * 2: Trading on the Financial Markets - Essential Principles for Insider Dealing Cases * 3: A History of Insider Dealing Legislation in the UK * 4: The European Insider Dealing Directive - The Foundation Stone of Part V CJA * 5: Part V of the Criminal Justice Act 1993: The Criminal Offences (s 52 CJA) * 6: Inside Information (s 56 CJA) * 7: Insiders (s 57 CJA) * 8: Securities and Regulated Markets * 9: Dealing * 10: Territorial Scope (s 62 CJA) * 11: Statutory Defences * 12: Prosecution of Insider Dealing Offences * 13: Penalties and Sentencing * 14: Insider Dealing - The Civil Market Abuse Regime - The Market Abuse Regulation * 15: The Civil Offences * 16: Articles 14 and 8 of MAR - Insider Dealing (The 'Primary Offence') * 17: Section 118(3) FSMA; Behaviour - Improper Disclosure * 18: Article 8(2) of MAR - 'Secondary Offences' - 'Recommending or Inducing' * 19: Market Abuse - Exemptions * 20: Sanctions for Market Abuse * 21: Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof * 22: Detection and Referral to Enforcement * 23: The Enforcement Investigation * 24: Criminal Proceedings * 25: The Enforcement Process - Market Abuse Proceedings * 26: The Future * Appendices * 1: Glossary of Terms Commonly Encountered in Insider Dealing Cases * 2: Legislation * 3: Financial Services and Markets Act 2000 Part VIII (as amended)
* 1: Introduction to Insider Dealing * 2: Trading on the Financial Markets - Essential Principles for Insider Dealing Cases * 3: A History of Insider Dealing Legislation in the UK * 4: The European Insider Dealing Directive - The Foundation Stone of Part V CJA * 5: Part V of the Criminal Justice Act 1993: The Criminal Offences (s 52 CJA) * 6: Inside Information (s 56 CJA) * 7: Insiders (s 57 CJA) * 8: Securities and Regulated Markets * 9: Dealing * 10: Territorial Scope (s 62 CJA) * 11: Statutory Defences * 12: Prosecution of Insider Dealing Offences * 13: Penalties and Sentencing * 14: Insider Dealing - The Civil Market Abuse Regime - The Market Abuse Regulation * 15: The Civil Offences * 16: Articles 14 and 8 of MAR - Insider Dealing (The 'Primary Offence') * 17: Section 118(3) FSMA; Behaviour - Improper Disclosure * 18: Article 8(2) of MAR - 'Secondary Offences' - 'Recommending or Inducing' * 19: Market Abuse - Exemptions * 20: Sanctions for Market Abuse * 21: Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof * 22: Detection and Referral to Enforcement * 23: The Enforcement Investigation * 24: Criminal Proceedings * 25: The Enforcement Process - Market Abuse Proceedings * 26: The Future * Appendices * 1: Glossary of Terms Commonly Encountered in Insider Dealing Cases * 2: Legislation * 3: Financial Services and Markets Act 2000 Part VIII (as amended)
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