Online Appendix for 'Fragmented Securities Regulation: Neglected Insider Trading in Stand-Alone Banks'

2019 ◽  
Author(s):  
Sehwa Kim ◽  
Seil Kim
Keyword(s):  
Insider Trading ◽  
Securities Regulation ◽  
Online Appendix

Fragmented Securities Regulation: Neglected Insider Trading in Stand-Alone Banks

2019 ◽  
Author(s):  
Sehwa Kim ◽  
Seil Kim
Keyword(s):  
Insider Trading ◽  
Securities Regulation

scholarly journals Market Soundings: The Interaction between Securities Regulation and Company Law in the United Kingdom and Italy

2019 ◽  
Vol 16 (3) ◽  
pp. 310-348
Author(s):  
Stefano Lombardo ◽  
Federico M. Mucciarelli
Keyword(s):  
United Kingdom ◽  
Insider Trading ◽  
Secondary Market ◽  
Company Law ◽  
Securities Regulation ◽  
The United Kingdom ◽  
Market Operation

Before deciding on operations involving share issuance or sale, companies or shareholders may seek to disclose information to selected investors, in order to gauge their opinion on the envisaged market operation. Despite such “market soundings” risk violating the prohibition of insider trading, selective disclosures have been partially accepted in several European jurisdictions. Market soundings have been eventually regulated in the MAR, which clarifies under which circumstances they are allowed and the position of the involved parties. This article analyses the rules on market soundings in the MAR with regard to issuance in the secondary market and accelerated bookbuildings. In this context, the question arises of whether harmonised rules on market soundings are compatible with national company law regimes. To address this issue, it will be assessed how Italian and English company law regimes react towards selective disclosures. It will be shown that a tension may still exist between uniform rules on market abuses and national company law rules, mostly with regard to directors’ duties and liabilities.

Anglo-American Securities Regulation

1998 ◽  
Author(s):  
Stuart Banner
Keyword(s):  
Securities Regulation ◽  
Anglo American

Market Manipulation and the Role of Insider Trading Regulations

CFA Digest ◽  
1998 ◽  
Vol 28 (1) ◽  
pp. 3-5
Author(s):  
M.E. Ellis
Keyword(s):  
Insider Trading ◽  
Market Manipulation

Insider Trading and Option Grant Timing in Response to Fire Sales (and Purchases) of Stocks by Mutual Funds

CFA Digest ◽  
2011 ◽  
Vol 41 (4) ◽  
pp. 26-28
Author(s):  
Michael Kobal
Keyword(s):  
Mutual Funds ◽  
Insider Trading ◽  
Fire Sales

Attentive Insider Trading

CFA Digest ◽  
2015 ◽  
Vol 45 (3) ◽  
Author(s):  
Isaac T. Tabner
Keyword(s):  
Insider Trading
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