Securities

Insider Dealing: Law and Practice, 2nd Edition

By Sarah Clarke
Oxford University Press April 2020

Specifications

ISBN-13
9780198826439
Publisher
Oxford University Press
Publication
April 2020
Format
Hardback , 368 pages
Jurisdiction
U.K. ? Countri(es) for reference only

Details

Insider Dealing: Law and Practice, first edition, was the first work to offer a detailed treatment of the rapidly developing law and practice relating to this complex area of law. The new edition of this leading text continues to provide an easily accessible guide to the practice and procedure of an insider dealing investigation, prosecution or civil action.

Significantly updated to take account of the Market Abuse Regulation, which came into force in 2016 and replaced UK domestic law, this new edition contains extensive new material analysing insider dealing behaviour that amounts to market abuse. Coverage has been expanded to include important recent legislative developments and case law, and key primary materials are brought together for ease of reference.

Written by a leading practitioner with unparalleled experience in both private practice and at the FSA, Insider Dealing: Law and Practice, second edition, offers a clearly structured and practical treatment of the area.

Table of Contents

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
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
15: The Civil Offences
16: Section 118(2) Behaviour - Insider Dealing
17: Section 118(3) Behaviour - Improper Disclosure
18: Section 118(4) Behaviour - Misuse of Information
19: Market Abuse - Statutory Defence and Power to Impose Penalties
20: Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof
21: Detection and Referral to Enforcement
22: The Enforcement Investigation
23: Criminal Proceedings
24: Enforcement Proceedings - Market Abuse Proceedings
25: The Future

About the Author

Sarah Clarke 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.

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