Market Manipulation and Insider Trading: Regulatory Challenges in the United States of America, the European Union and the United Kingdom

Banking / Finance

Market Manipulation and Insider Trading: Regulatory Challenges in the United States of America, the European Union and the United Kingdom

Edited by Ester Herlin-Karnell · Nicholas Ryder
Hart Publishing September 2019

Specifications

ISBN-13
9781509903078
Publisher
Hart Publishing
Publication
September 2019
Format
Hardback
Jurisdiction
U.K. ? Countri(es) for reference only

Also available as

Paperback

Details

One of the emerging trends in the debate surround the causes of the 2007/2008 financial crisis has been the identification of the contributory factors.

A great deal of literature has concluded that there were many factors including, inter alia, weak banking regulation, weak regulation of the consumer credit markets, securitisation and the spectacular collapse of the United States sub-prime mortgage sector. However, there has been an increasing amount of recognition that white collar crime was a significant factor that influenced the most recent financial crisis.

The early body of research on the link between white collar crime and the financial crisis identified mortgage fraud as being one of the most prominent causes. However, this monograph seeks to identify a new and emerging type of white collar crime, market manipulation.

Specific reference will be made to the manipulation of London Interbank Offered Rate (LIBOR) and the foreign exchange market (FOREX). In this monograph the authors will identify the association between the financial crisis and market manipulation and then critically consider the legislative, policy and enforcement responses in the United States of America, the United Kingdom and the European Union.

Table of Contents

1. Introduction
I. Introduction
II. The Financial Crisis and the Fight against Financial Crimes: Some Hardcore Data
III. Market Manipulation: The Major Crime
IV. Structure of the Chapters
V. Conclusion
2. Market Manipulation and Insider Dealing in the EU Context
I. Introduction
II. The EU's Fight against Financial Crimes and the Importance of 'Confidence' in the Market
III. The EU Legislative Framework to Fight Market Abuse
IV. Criminal Liability for Legal Persons – A Brief Overview
V. Conclusion
3. Regulatory Strategies: On the Choice of Sanction
I. Introduction
II. Quasi-criminal Law in the EU Context
III. The Eternal Debate: Criminal or Administrative Sanctions?
IV. Market Abuse Sanctions – The EU Context and the Question of Proportionality
V. The United Kingdom
VI. The United States of America
VII. Conclusion
4. Market Abuse and the Wider EU Fight Against Financial Crimes
I. Introduction
II. The Wider Area of Financial Crimes: Money Laundering and Fraud
III. The European Public Prosecutor's Office and EU Agencies
IV. Subsidiarity Questions and Accountability with Broader Relevance for the EU Market Abuse Regime
V. Fundamental Rights and Data Protection
VI. Conclusion
5. The United Kingdom
I. Introduction
II. Insider Dealing
III. Market Abuse
IV. The 2007/08 Financial Crisis, Market Manipulation and the Enforcement Response
V. The Serious Fraud Office
VI. The Financial Conduct Authority
VII. Conclusion
6. The United States of America
I. Introduction
II. Insider Trading
III. Market Manipulation
IV. The 2007/08 Financial Crisis, Market Manipulation and the Enforcement Response
V. The Securities and Exchange Commission
VI. The Department of Justice
VII. Commodities Futures Trading Commission
VIII. Conclusion
7. Conclusion
I. Introduction
II. Final Remarks
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