Corporate Liability for Insider Trading The Law of Financial Crime Series
Auteur : Overland Juliette
Corporate Liability for Insider Trading examines the reasons why there have been no successful criminal prosecutions, or successful contested civil proceedings, against corporations for insider trading, and analyses the various rationales for prohibiting insider trading. It reviews the insider trading regulatory regime and describes its key features, using both national and international examples. The book inspects a variety of criminal and civil models of corporate liability and considers the historical and theoretical basis on which corporations are subject to insider trading laws. The specific elements of the insider trading offence and the manner in which they are attributed to corporations are analysed in detail. Defences available to corporations such as Chinese Walls are explored, and the obligations that are imposed on businesses as a result of insider trading regulation ? security trading policies and notifications, continuous disclosure obligations, and duties concerning conflicts of interest ? are detailed and examined. The book concludes with reform proposals intended to remedy the many legal and commercial difficulties identified, in order that a new regulatory regime might be adopted to better serve regulators, businesses, investors, and the broader market. This volume addresses these corporate law topics and will be of interest to researchers, academics, financial institution compliance officers, investment bankers, corporate and comparative lawyers, and students and scholars in the fields of commercial law, corporate law, financial crime, company law, and white collar crime
1. Corporate Liability for Insider Trading: An Introduction
2. The Regulation of Insider Trading
3. The Application of Insider Trading Laws to Corporations
4. Corporate Criminal Liability
5. Attributing the Elements of Insider Trading to Corporations
6. Corporations and the Chinese Wall Defence to Insider Trading
7. Business Obligations Resulting from Insider Trading Laws
8. Reform Proposals
9. Conclusion
Juliette Overland is an Associate Professor at the University of Sydney Business School, Australia.
Date de parution : 09-2020
15.6x23.4 cm
Date de parution : 03-2019
15.6x23.4 cm
Thèmes de Corporate Liability for Insider Trading :
Mots-clés :
Insider Trading Laws; Insider Trading; Insider Trading Regulation; Managed Investment Scheme; Security Trading Policy; Meridian Global Funds Management Asia; tinuous Disclosure; Civil Penalty Proceedings; Conflict of Interest Procedures; ASIC; Corporate Law; Insider Trading Prohibition; Criminal Liability; Ss 1042G; Civil Liability; Corporate Criminal Liability; Corporate Crime; Continuous Disclosure Obligations; Body Corporate; Corporate Liability; Inside Information; Relevant Division; Corporate Criminal Responsibility; General Law Rules; Chinese Wall Defence; Identification Doctrine; Direct Liability; Mens Rea; Insider Trading Law; Civil Penalty Provision; Fault Element; Chinese Wall; Price Sensitive Information; General Law Principles; Key Management Personnel; Vicarious Liability; Viscount Haldane LC; Primary Insider