Practitioners Guide To The Law And Regulation Of Market Abuse
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| Author | : Marco Ventoruzzo |
| Publisher | : Oxford University Press, USA |
| Total Pages | : 0 |
| Release | : 2017 |
| Genre | : Antitrust law |
| ISBN | : 9780198811756 |
This book analyses the European market abuse regime contained in the Market Abuse Regulation (MAR) and related directives and regulations. Written by leading scholars in the field of capital market law from a number of European jurisdictions, the book is divided into two main parts. The first consists of chapters considering relevant issues by topic; whilst the second provides the first article-by-article commentary on the Regulation, with a detailed and technical analysis of its terms. In the first part guidance is arranged by topic and includes aspects not directly addressed by MAR such as enforcement, and the impact of US securities regulation. As well as considering the sources of market abuse regulation in general, this first part also examines its theoretical and economic framework in order to provide better understanding of the Regulation itself.
| Author | : Karen Anderson |
| Publisher | : |
| Total Pages | : 533 |
| Release | : 2017 |
| Genre | : Capital market |
| ISBN | : 9780414055988 |
A Practitioner's Guide to the Law and Regulation of Market Abuse covers all aspects of the law and regulation relating to market abuse in the UK. The focus of the book is to explain how the market abuse regime operates in practice. This second edition is fully revised and updated to cover the new EU Market Abuse Regulation (MAR) and Directive on Criminal Sanctions for Market Abuse
| Author | : Helinä Häkkänen-Nyholm |
| Publisher | : John Wiley & Sons |
| Total Pages | : 322 |
| Release | : 2012-03-23 |
| Genre | : Psychology |
| ISBN | : 1119944570 |
Psychopathy and Law: A Practitioner's Guide provides those working in the fields of law, the military, social and health services, politics, and business with a comprehensive introduction to psychopathy and the ways of thinking that guide the psychopathic mind. Features case examples and - unique from previous texts in the field - links these to theory and empirical research Represents an up-to-date resource for scientists examining psychopathy Covers issues that have never been dealt with in regard to psychopathy, including those relating to families, civil law, war crimes, economical crimes and organized crimes
| Author | : Edward J. Swan |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2018-05-31 |
| Genre | : Law |
| ISBN | : 9780198759256 |
Market Abuse Regulation is a wide-ranging and insightful analysis of the market abuse regime and the applications of the regulations in the UK and European Union. It provides detailed discussion of the implementation and interpretation of the regulation, the conduct of investigations, the defences and appeals available against a finding of market abuse, and overlapping United States regulation. The new edition explains and evaluates the changes introduced by the Markets in Financial Instruments Directive, the Market Abuse Directive, the Market Abuse Regulation, and the implementation of the Regulation on Wholesale Market Integrity and Transparency, which have resulted in dramatic expansion of the coverage of EU market abuse regulation. It addresses the regulation of additional financial instruments, the expansion to include new markets and trading facilities, and changes to the coverage of commodity derivatives and physical commodities. It discusses the dramatic changes to the format of regulation as a result of the restructuring of UK regulators; as well as the addition of new EU supervisory bodies with revised powers over national regulation within the EU. Beyond the EU, it discusses international protocols and treaties which have also added to the regulatory structure.
| Author | : American Bar Association. House of Delegates |
| Publisher | : American Bar Association |
| Total Pages | : 216 |
| Release | : 2007 |
| Genre | : Law |
| ISBN | : 9781590318737 |
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
| Author | : Gregory J Durston |
| Publisher | : Waterside Press |
| Total Pages | : 152 |
| Release | : 2020-01-29 |
| Genre | : Law |
| ISBN | : 1909976733 |
Market manipulation comes in many forms. For a wrong that some say started life with groups of men dressed in Bourbon uniforms spreading false information in cod French accents, the speed of change has accelerated dramatically in the modern era, via the Internet, novel forms of electronic communication, ultra-fast computer-generated trading, new types of financial instruments, and increased globalisation. This means that opportunities for carrying-out new forms of manipulation now exist on an exponential scale. Looks at the mechanisms, criminal and civil, to confront market manipulation, its enforcement regimes, legal and evidential rules and potential loopholes. Shows how every individual involved in market transactions can fall foul of the law if they do not ensure integrity in their dealings. The ‘tricks’ used by those seeking to benefit from this special category of fraud and the relationship of dedicated provisions to the general law is outlined, with key statutory provisions set out in an appendix. A valuable accompaniment to The Little Book of Insider Dealing (Waterside Press, 2018). An invaluable pocket guide and law primer. An essential guide for investors. With practical examples and decided cases. An up-to-date treatment of a fast-moving topic. Describes both criminal and regulatory regimes. Contents include Forms of Market Manipulation; Suspicion, Identification, Detection and Investigation; Obligations and Enforcement; Criminal Offences, Defences and Punishment; Regulatory Provisions and Penalties; Evidence; Acronyms; Select Bibliography; Key Statutory Provisions and Index.
| Author | : Terrance J. O'Malley |
| Publisher | : Wolters Kluwer |
| Total Pages | : 1060 |
| Release | : 2013-01-01 |
| Genre | : Law |
| ISBN | : 1454838493 |
Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
| Author | : Daragh Murray |
| Publisher | : Oxford University Press |
| Total Pages | : 400 |
| Release | : 2016 |
| Genre | : Law |
| ISBN | : 0198791399 |
This book provides detailed guidance for armed forces and practitioners on the application of international human rights law during armed conflict and its relationship with the law of armed conflict.
| Author | : Gregory J Durston |
| Publisher | : Waterside Press |
| Total Pages | : 194 |
| Release | : 2018-02-21 |
| Genre | : Law |
| ISBN | : 1909976539 |
Since the Financial Crisis of 2008, criminal prosecution has moved to centre-stage as the Financial Conduct Authority’s preferred means of punishing and deterring insider dealing (the illegal practice of trading with access to sensitive non-public information). The Little Book of Insider Dealing looks at all aspects of the ‘insider’ offences established by the Criminal Justice Act 1993, including their history, punishment and rationale, as well as their (slightly uneasy) relationship with the overlapping civil regulatory regime that also governs such financial misconduct. Topics covered also include: detection, compliance, surveillance, suspicion, reporting obligations, enforcement and (civil and criminal) penalties and warnings, plus there is a strong focus on evidential aspects and a wealth of examples from real life cases. Suitable for beginners and practitioners alike. The first concise treatment and highly topical. A gem that deals with wide scale problems and complexities identified by an article in The Times (see Chapter 1).
| Author | : Larry Harris |
| Publisher | : OUP USA |
| Total Pages | : 664 |
| Release | : 2003 |
| Genre | : Business & Economics |
| ISBN | : 9780195144703 |
Focusing on market microstructure, Harris (chief economist, U.S. Securities and Exchange Commission) introduces the practices and regulations governing stock trading markets. Writing to be understandable to the lay reader, he examines the structure of trading, puts forward an economic theory of trading, discusses speculative trading strategies, explores liquidity and volatility, and considers the evaluation of trader performance. Annotation (c)2003 Book News, Inc., Portland, OR (booknews.com).
