Part II Financial Services Regulation, 13 Insider Dealing and Misleading Statements and Impressions

2018 ◽  
Author(s):  
Walker George ◽  
Purves Robert ◽  
Blair Michael
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Regulatory Requirements ◽  
Market Conduct ◽  
Financial Services Regulation ◽  
Insider Dealing

This chapter focuses on the criminal offences of insider dealing under the Criminal Justice Act 1993 (CJA) and misleading statements and impressions under Part 7 of the Financial Services Act 2012 (FSA 2012), along with regulatory requirements relating to market misconduct. It first provides an overview of the relevant provisions of Part V of CJA before discussing the roles of the various regulatory and prosecuting authorities with power to take action in respect of market misconduct and how these bodies interact. In particular, it examines the responsibility of the Financial Conduct Authority (FCA) for prosecuting offences unde CJA and FSA 2012. It also analyses the provisions of Part 7 of FSA 2012 regarding offences in relation to financial services as well as other regulatory provisions relating to undesirable market conduct.

12. Market abuse

2018 ◽  
Author(s):  
Derek French
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Fiduciary Duty ◽  
Market Manipulation ◽  
Market Abuse ◽  
Regulated Markets ◽  
Insider Dealing ◽  
Significant Case

This chapter deals with abuses committed in the trading of shares, with particular reference to insider dealing and market manipulation, and the laws intended to control them. The chapter considers forms of control to prevent market abuse under three key pieces of legislation: Regulation (EU) No 596/2014, the Criminal Justice Act 1993 and the Financial Services Act 2012. It looks at regulations governing disclosure to regulated markets and the fiduciary duty of directors, and offences involving insider dealing and creating a false market. The chapter analyses a particularly significant case: Percival v Wright [1902] 2 Ch 421.

12. Market abuse

2019 ◽  
pp. 320-340
Author(s):  
Derek French
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Fiduciary Duty ◽  
Market Manipulation ◽  
Market Abuse ◽  
Regulated Markets ◽  
Insider Dealing ◽  
Significant Case

This chapter deals with abuses committed in the trading of shares, with particular reference to insider dealing and market manipulation, and the laws intended to control them. The chapter considers forms of control to prevent market abuse under three key pieces of legislation: Regulation (EU) No 596/2014, the Criminal Justice Act 1993 and the Financial Services Act 2012. It looks at regulations governing disclosure to regulated markets and the fiduciary duty of directors, and offences involving insider dealing and creating a false market. The chapter analyses a particularly significant case: Percival v Wright [1902] 2 Ch 421.

13. Market abuse

2016 ◽  
Author(s):  
Derek French ◽  
Stephen W. Mayson ◽  
Christopher L. Ryan
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Listed Companies ◽  
Fiduciary Duty ◽  
Market Manipulation ◽  
Market Abuse ◽  
Model Code ◽  
Regulated Markets ◽  
Insider Dealing ◽  
Significant Case

This chapter deals with abuses committed in the trading of stocks, with particular reference to insider dealing and market manipulation, and the laws intended to control them. After considering objections to the control of insider dealing, the chapter turns to forms of control to prevent market abuse under three key pieces of legislation: the Criminal Justice Act 1993, the Financial Services and Markets Act 2000, and the Financial Services Act 2012. It then looks at regulations governing disclosure to regulated markets and the fiduciary duty of directors, the Financial Conduct Authority’s Model Code for listed companies, and offences involving insider dealing and creating a false market. The chapter analyses a particularly significant case: Percival v Wright [1902] 2 Ch 421.

12. Market abuse

2021 ◽  
pp. 315-336
Author(s):  
Derek French
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Fiduciary Duty ◽  
Market Manipulation ◽  
Market Abuse ◽  
Regulated Markets ◽  
Insider Dealing ◽  
Significant Case

This chapter deals with abuses committed in the trading of shares, with particular reference to insider dealing and market manipulation, and the laws intended to control them. The chapter considers forms of control to prevent market abuse under three key pieces of legislation: Regulation (EU) No 596/2014, the Criminal Justice Act 1993 and the Financial Services Act 2012. It looks at regulations governing disclosure to regulated markets and the fiduciary duty of directors, and offences involving insider dealing and creating a false market. The chapter analyses a particularly significant case: Percival v Wright [1902] 2 Ch 421.

13. Market abuse

2017 ◽  
Author(s):  
Derek French
Keyword(s):  
Criminal Justice ◽  
Financial Services ◽  
Fiduciary Duty ◽  
Market Manipulation ◽  
Market Abuse ◽  
Regulated Markets ◽  
Insider Dealing ◽  
Significant Case

This chapter deals with abuses committed in the trading of shares, with particular reference to insider dealing and market manipulation, and the laws intended to control them. The chapter considers forms of control to prevent market abuse under three key pieces of legislation: Regulation (EU) No 596/2014, the Criminal Justice Act 1993 and the Financial Services Act 2012. It looks at regulations governing disclosure to regulated markets and the fiduciary duty of directors, and offences involving insider dealing and creating a false market. The chapter analyses a particularly significant case: Percival v Wright [1902] 2 Ch 421.

Sign in / Sign up

Export Citation Format

Share Document