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The Little Book of Insider Dealing.
Suitable for beginners and practitioners alike. The first concise treatment and highly topical. A gem for finance industry professionals, lawyers and students as well as ordinary investors (who like everyone else must avoid putting themselves at risk).
| Clasificación: | Libro Electrónico |
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| Autor principal: | |
| Otros Autores: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
Hook :
Waterside Press,
2018.
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| Temas: | |
| Acceso en línea: | Texto completo |
Tabla de Contenidos:
- Cover; Copyright and publication details; Contents; Publisherâ#x80;#x99;s note; Acknowledgements; About the authors; Introduction; Setting the Scene; R v Ryan Willmott; Other jurisdictions; Rationale for Proscription; Arguments for legalised insider dealing; Historical Context; Extent of Insider Dealing in the 21st-Century; Identifying and Investigating Insider Dealing; Identifying Insider Dealing; Whistle-blowing and broker observation; Complex Event Processing (CEP); Reporting Suspicious Transactions; FCA Monitoring; Investigating Insider Dealing; The Investigative Interview.
- The Decision to ProsecuteThe Two-Stage Test; Consequences of the Decision as to Forum; The Regulatory Regime; Introduction; Advent of the Civil Wrong; The Legislation; Standard of Proof in Regulatory Actions; Going to the Regulatory Decisions Committee; The RDC Decision; Reference to the Upper Tribunal; Regulatory Penalties; The Criminal Offences; Preliminary Matters; No Need for a Tangible Benefit; Natural Persons; Absence of Dishonesty; Fraud Act 2006; The Three Offences; Interpretation of Section 52; Elements of the Offence; Dealing; The Securities; Designated Markets; Territorial Scope.
- InsidersKnowledge; Inside Source; Inside Information; Particular; Specific or Precise; Not Made Public; Likely to have a significant effect on price; The Statutory Defences and Punishment; Introduction; Section 53: The General Defences; Defences and the Burden of Proof; Impact of the Human Rights Act 1998; Section 53(1)(a); Section 53(1)(b); Section 53(1)(c); Section 53(2)(a)-(c); Section 53(3); The Schedule 1 Defences; Market makers; Market information; Buy-back programmes and stabilisation; The Punishment of Insider Dealing; Evidential Perspectives; Introduction; Nature of the Hearings.
- Expert EvidenceAbsence of Intercept Evidence; Serious Organized Crime and Police Act 2005; Sentence Reduction; Immunity; Good Character of Defendants; Suspicious Behaviour; Circumstantial Evidence; Rejection of mathematical models; Cost; FSA/FCA Prosecutions; Introduction; Advent of the FSA; A Change in Approach; Typical Prosecutions; The Indictment; Conspiracy or Substantive Offences?; Smoking Guns and Careless Defendants; The First Three Contested Cases; The First Acquittal; Another Acquittal; Other Early FSA Cases; Low Hanging Fruit; Tabernula and other High Level Fruit; Conclusion.
- Introductionâ#x80;#x98;Successfulâ#x80;#x99; Insider Dealing; Success; Concern; Appendix: Part V Criminal Justice Act 1993 (as amended); The offence of insider dealing; Interpretation; Miscellaneous; SCHEDULE 2; Frequently Used Acronyms; Select Bibliography; Index; Fields, Fens and Felonies; Whores and Highwaymen.