Items related to Market Abuse and Insider Dealing
Synopsis
Market Abuse and Insider Dealing, 3rd edition provides a comprehensive exposition of the law of insider dealing and market abuse, including analysis of the interplay between UK Criminal law and Administrative law regulation of abusive behaviour in the UK financial markets. The title covers areas including: Insider dealing - the civil law; The main offences for insider dealing; Market abuse - regulatory discipline and the civil law; Fraud offences as they relate to market abuse; Money laundering and market abuse; Conflicts of interest; The liability of issuers of securities in respect of disclosure and inside information; Information gathering, market surveillance, investigations and enforcement; Compliance systems and controls and control liability. Includes the following legislation and case law: Financial Services Act 2012; New Financial Conduct Authority; New EU Market Abuse Regulation; MiFID II (Markets in Financial Instruments Directive). CONTENTS: Chapter 1 The nature of insider dealing and market abuse Chapter 2 Insider dealing: the civil law Chapter 3 The main offences of insider dealing dealing on the basis of inside information Chapter 4 The market abuse regime Chapter 5 FSMA criminal offences of market manipulation Chapter 6 Fraud and financial crime Chapter 7 Anti-money laundering and proceeds of crime Chapter 8 Conflicts of interest Chapter 9 Issuer disclosure and liability Chapter 10 Information gathering Chapter 11 Investigations Chapter 12 Enforcement issues Chapter 13 Compliance procedures and systems Chapter 14 Personal liability of senior managers and compliance officers Chapter 15 Control liability Chapter 16 The impact of other laws: domestic and overseas
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About the Author
Professor Barry Rider OBE has taught law in the University of Cambridge since 1976. He is currently a Professorial Fellow in the Center of Development Studies. He also holds professorial and other senior offices at a number of other universities including Renmin University, China, BPP University and the University of London. He has also served as a civil servant responsible for a special intelligence and mutual assistance unit within an inter-governmental organisations and has worked closely with numerous regulatory, investigative and prosecuting agencies around the world. He is a master of the Bench of the Inner Temple. Professor Kern Alexander, Chair for Banking and Financial Market Law, University of Zurich, and Professorial Fellow in Financial Regulation, Centre for Risk Studies, University of Cambridge. Formerly, the Specialist Adviser to the Parliamentary Joint Select Committee on the Financial Services Act 2012, and Member of the Expert Panel on Financial Services for the European Parliament (2009-14). Stuart Bazley works as a regulatory consultant specialising in compliance remediation and investigations and is the co-director of the LLM in Financial Regulation and Compliance at BPP University College. Jeffrey Bryant is an employed barrister in the Crown Prosecution Service, where he is a Specialist Prosecutor and Crown Advocate in the Proceeds of Crime Service. Jeffrey was the reviewing lawyer in the leading Supreme Court case of R v Waya [2013] 1 A.C. 294 on proportionality in the Proceeds of Crime Act 2002 and has had oversight of all proportionality arguments in the appeal courts since, including the Supreme Court cases of R v Ahmad [2015] 1 A.C. 299 and the forthcoming R v Harvey. Jeffrey also specialises in mutual legal assistance and has acted on behalf of numerous overseas governments freezing assets in England and Wales. Jeffrey is a visiting lecturer on LL.M. courses at BPP University and has been a contributing editor, since 2003, to the leading work Mitchell, Taylor and Talbot on Confiscation and the Proceeds of Crime.
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