Insider Dealing: Law and Practice / Edition 2

by Sarah Clarke QC

Overview

Insider Dealing: Law and Practice, first edition, was the first work to offer a detailed treatment of the rapidly developing law and practice relating to this complex area of law. The new edition of this leading text continues to provide an easily accessible guide to the practice and procedure of an insider dealing investigation, prosecution or civil action.

Significantly updated to take account of the Market Abuse Regulation, which came into force in 2016 and replaced UK domestic law, this new edition contains extensive new material analysing insider dealing behaviour that amounts to market abuse. Coverage has been expanded to include important recent legislative developments and case law, and key primary materials are brought together for ease of reference.

Written by a leading practitioner with unparalleled experience in both private practice and at the FSA, Insider Dealing: Law and Practice, second edition, offers a clearly structured and practical treatment of the area.

Product Details

ISBN-13:	9780198826439
Publisher:	Oxford University Press
Publication date:	06/28/2020
Edition description:	2nd ed.
Pages:	560
Product dimensions:	9.80(w) x 7.00(h) x 1.40(d)

About the Author

Sarah Clarke QC, Barrister, Serjeant's Inn Chambers

Sarah Clarke QC is a barrister at Serjeant's Inn Chambers. She was previously a Technical Specialist and In-House Counsel in the Financial Services Authority's Enforcement Division, where she led teams and advised on investigations, evidence, powers and regulatory law and procedure.

Table of Contents

1. Introduction to Insider Dealing2. Trading on the Financial Markets - Essential Principles for Insider Dealing Cases3. A History of Insider Dealing Legislation in the UK4. The European Insider Dealing Directive - The Foundation Stone of Part V CJA5. Part V of the Criminal Justice Act 1993: The Criminal Offences (s 52 CJA)6. Inside Information (s 56 CJA)7. Insiders (s 57 CJA)8. Securities and Regulated Markets9. Dealing10. Territorial Scope (s 62 CJA)11. Statutory Defences12. Prosecution of Insider Dealing Offences13. Penalties and Sentencing14. Insider Dealing - The Civil Market Abuse Regime - The Market Abuse Regulation15. The Civil Offences16. Articles 14 and 8 of MAR - Insider Dealing (The 'Primary Offence')17. Section 118(3) FSMA; Behaviour - Improper Disclosure18. Article 8(2) of MAR - 'Secondary Offences' - 'Recommending or Inducing'19. Market Abuse - Exemptions20. Sanctions for Market Abuse21. Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof22. Detection and Referral to Enforcement23. The Enforcement Investigation24. Criminal Proceedings25. The Enforcement Process - Market Abuse Proceedings26. The FutureAppendices1. Glossary of Terms Commonly Encountered in Insider Dealing Cases2. Legislation3. Financial Services and Markets Act 2000 Part VIII (as amended)