Market Abuse Enforcement: Practice and Procedure
Autor Stuart Bazleyen Limba Engleză Hardback – 27 feb 2013
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Specificații
ISBN-13: 9781847665416
ISBN-10: 1847665411
Pagini: 386
Dimensiuni: 156 x 248 x 38 mm
Greutate: 0.82 kg
Ediția:New.
Editura: Bloomsbury Publishing
Colecția Bloomsbury Professional
Locul publicării:London, United Kingdom
ISBN-10: 1847665411
Pagini: 386
Dimensiuni: 156 x 248 x 38 mm
Greutate: 0.82 kg
Ediția:New.
Editura: Bloomsbury Publishing
Colecția Bloomsbury Professional
Locul publicării:London, United Kingdom
Caracteristici
Market abuse is a real concern for all those that operate in the financial sector and this title will address in detail the role and responsibilities of compliance in relation to market abuse
Notă biografică
Stuart Bazley has worked in the financial services industry for over 25 years and is currently a consultant. He has also lectured and written extensively on financial services regulation and enforcement
Cuprins
1 Introduction and historical context;2 Market abuse - UK regulation and its technical provisions;3 Information: Control and disclosure, market abuse surveillance, information gathering and formal investigations;4 Enforcement decision-making processes;5 The legal basis for Regulator accountability;6 The Upper Tribunal (Tax and Chancery) jurisdiction and its independent decision making;7 The tribunal's rules of procedure, evidence and the impact of costs;8 The tribunal's impact on the market abuse regime and the protection of financial markets;9 Comparison with the criminal law and parallel regulatory proceedings;10 Conclusions and looking ahead: The Financial Conduct Authority and Market Abuse;Appendix 1 FSA Market Abuse and Misconduct Enforcement, Chronological Case Analysis;Appendix 2 Market abuse and market misconduct case data shown by year;Appendix 3 FSA Market abuse and market misconduct financial penalties in order of size;Appendix 4 Market Abuse Behaviours, Principles or Rules breaches utilised in FSA enforcement shown by year;Appendix 5 Percentage of market abuse cases determined with involvement of Tribunal per year;Appendix 6 FSA criminal insider dealing and market abuse;Appendix 7 FSA charges for criminal insider dealing and market abuse, where trial commenced or awaiting trial.
Descriere
This new title is concerned with the interplay between the Financial Services Authority's ('FSA') statutory powers to impose administrative law sanctions on persons that have engaged in abuse in the financial markets and the statutory system of Tribunal accountability provided by the Financial Services and Markets Act 2000 ('the Act').