Insider Dealing: Law and Practice

Hardcover | October 12, 2013

bySarah Clarke

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Insider Dealing: Law and Practice is the first work to offer a detailed treatment of the rapidly developing law and practice relating to the complex area of insider dealing. Since R v McQuoid and Melbourne, and R v Uberoi, there has been a steady increase in the volume and severity of insiderdealing prosecutions and civil market abuse proceedings. This text provides a detailed analytical critique of the recent cases and developments, including treatment of the background to this area, all cases, and the first ever sentencing guidelines for insider dealing. Written by a leading practitioner with unparalleled experience in both private practice and at the FSA, it offers a clearly structured, and practical treatment of the area, collecting together all key legislation and materials, and offering an easily accessible road map through the practice andprocedure of an insider dealing investigation and prosecution or civil action.

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Insider Dealing: Law and Practice is the first work to offer a detailed treatment of the rapidly developing law and practice relating to the complex area of insider dealing. Since R v McQuoid and Melbourne, and R v Uberoi, there has been a steady increase in the volume and severity of insiderdealing prosecutions and civil market abuse ...

Sarah Clarke 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.

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Format:HardcoverDimensions:400 pagesPublished:October 12, 2013Publisher:Oxford University PressLanguage:English

The following ISBNs are associated with this title:

ISBN - 10:0199672954

ISBN - 13:9780199672950

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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 Directive5. 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 Regime15. The Civil Offences16. Section 118(2) Behaviour - Insider Dealing17. Section 118(3) Behaviour - Improper Disclosure18. Section 118(4) Behaviour - Misuse of Information19. Market Abuse - Statutory Defence and Power to Impose Penalties20. Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof21. Detection and Referral to Enforcement22. The Enforcement Investigation23. Criminal Proceedings24. Enforcement Proceedings - Market Abuse Proceedings25. The Future