Banking / Finance European Union Law

EU Market Abuse Regulation: A Commentary on Regulation (EU) No 596/2014

Edited by Susanne Kalss · Martin Oppitz · Martin Winner
Edward Elgar Publishing December 2021

Specifications

ISBN-13
9781800882232
Publisher
Edward Elgar Publishing
Publication
December 2021
Format
Hardback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

This comprehensive Commentary examines the implications of the EU’s Market Abuse Regulation, introduced following the 2008 financial crisis after gaps were identified in the existing regulatory framework. It explores whether and how the Regulation achieves its aims of preserving the integrity of financial markets by preventing insider dealing and market manipulation, providing a harmonised legal framework, and increasing legal certainty for all market participants.

Key features include:

  • in-depth contributions from leading scholars and practitioners in the field
  • practical discussion of the interpretation and implementation of the Regulation, including pertinent national and European case law
  • systematic article-by-article analysis of the Regulation, illuminating the purpose of each provision as well as providing relevant historical and legal context

Scholars of EU financial and banking law, particularly those with an interest in market abuse and financial crime and corruption, will find this Commentary a valuable resource. It will also be of great practical benefit for practitioners and in-house counsel working for or with banks, investment firms and other financial institutions.

Table of Contents

1. Subject matter
Elena Guggenberger
2. Scope
Elena Guggenberger
3. Definitions
Elena Guggenberger
4. Notifications and list of financial instruments
Elena Guggenberger
5. Exemption for buy-back programmes and stabilisation
Susanne Kalss
6. Exemption for monetary and public debt management activities and climate policy activities
Susanne Kalss
7. Inside information
Mario Hössl-Neumann and Ulrich Torggler
8. Insider dealing
Martin Winner
9. Legitimate behaviour
Martin Winner
10. Unlawful disclosure of inside information
Mario Hössl-Neumann and Ulrich Torggler
11. Market soundings
Mario Hössl-Neumann and Ulrich Torggler
12. Market manipulation
Susanne Kalss
13. Accepted market practices
Susanne Kalss
14. Prohibition of insider dealing and of unlawful disclosure of inside information
Martin Winner
15. Prohibition of market manipulation
Martin Oppitz
16. Prevention and detection of market abuse
Florian Kusznier
17. Public disclosure of inside information
Susanne Kalss and Clemens Hasenauer
18. Insider lists
Ursula Rath
19. Managers’ transactions
Susanne Kalss and Clemens Hasenauer
20. Investment recommendations and statistics
Martin Oppitz
21. Disclosure or dissemination of information in the media
Martin Oppitz
22. Competent authorities
Peter Jedlicka
23. Powers of competent authorities
Peter Jedlicka
24. Cooperation with ESMA
Alfred Schramm
25. Obligation to cooperate
Alfred Schramm
26. Cooperation with third countries
Alfred Schramm
27. Professional secrecy
Alfred Schramm
28. Data protection
Alfred Schramm
29. Disclosure of personal data to third countries
Alfred Schramm
30. Administrative sanctions and other administrative measures
Michael Rohregger and Nina Palmstorfer
30A. Appendix to Art 30 MAR – Private enforcement
Chris Thomale
31. Exercise of supervisory powers and imposition of sanctions
Michael Rohregger and Charlotte Pechhacker
32. Reporting of infringements
Michael Rohregger and Charlotte Pechhacker
33. Exchange of information with ESMA
Michael Rohregger and Charlotte Pechhacker
34. Publication of decisions
Michael Rohregger and Nina Palmstorfer
35. Exercise of the delegation
Elisabeth Drach
36. Committee procedure
Elisabeth Drach
37. Repeal of Directive 2003/6/EC and its implementing measures
Elisabeth Drach
38. Report
Elisabeth Drach
39. Entry into force and application
Elisabeth Drach

Annex I
Annex II

Index
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