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Market Abuse and Insider Dealing, 4th Edition

Market Abuse and Insider Dealing, 4th Edition

Author: Barry Rider; Kern Alexander; Lisa Linklater; Stuart Bazley
Publisher: Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526509109

Previous Edition ISBN: 9781780434957
Published In: November 2022
Format: Hardback , 560 pages
Jurisdiction: International ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 2,145.00

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Description
Contents

Details

Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness.

With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be classified as market abuse is becoming increasingly fine. This raises questions about communications between financial institutions and investors, and about corporate and analyst access.

Market Abuse and Insider Dealing provides guidance on and explanation of the range of potential legal and regulatory responses to this complex area of law.

Providing a thorough analysis and assessment of the law relating to market abuse and insider dealing, the new fourth edition includes:

analysis of the impact of Brexit
significant new case law and legislation including MiFID II; Money Laundering Regulations 2017; the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; Criminal Finances Act 2017 with Unexplained Wealth Orders; The Fifth Money Laundering Directive
the new Corporate Governance Code
new content on: control and senior managers' responsibility/liability; the FCAs competition law jurisdiction where it is appropriate to do so in relation to market abuse; a new table of UK decided market abuse cases

Chapter 1: Introduction
Chapter 2: Insider Dealing - The Civil Law
Chapter 3: The Main Offences for Insider Dealing
Chapter 4: Market Abuse - Regulatory Disciplne and the Civil Law
Chapter 5: Market Abuse – Derivatives, etc
Chapter 6: The FISMA 'Fraud Offences'
Chapter 7: General Offences – Fraud, etc
Chapter 8: AML and Proceeds of Crime
Chapter 9: Conflicts of Interest, etc
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, etc
Chapter 17: Extra-territorial Issues as they Impact on the UK
Chapter 18: Extra-territorial Reach of UK Laws