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The Law of Insider Trading in Australia de Gregory Lyon

The Law of Insider Trading in Australia

Autor Gregory Lyon, Jean Du Plessis M. E. J. Black
en Limba Engleză Hardback – 31 mai 2005
This book provides a detailed and practical analysis of Australian Insider Trading Laws. Examines all fundamental concepts relating to insider trading such as ‘who is an insider’, ‘what is inside information’ and ‘when is information generally available’, together with commentaries on proposed changes to the laws and an examination of the impact of the most recent decisions, including Hannes, and Rivkin; Provides a very detailed examination of the defences and exceptions, with particular attention to the operation of Chinese Walls; Analyses fully and systematically the provisions on insider trading in the Corporations Act and the Criminal Code (Cth) within the context of decided cases and relevant secondary materials;Covers comprehensively the penalties and remedies for contravention of the insider trading regime. This includes the intricate civil compensation provisions, and an up-to-date analysis of the civil penalties regime in light of ASIC v Petsas; Discusses the operation and effectiveness of continuous disclosure as a means of preventing insider trading.
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Specificații

ISBN-13: 9781862875630
ISBN-10: 1862875634
Pagini: 218
Dimensiuni: 140 x 216 x 18 mm
Greutate: 0.45 kg
Editura: Federation Press

Cuprins

Contents Introduction Overview The Definition of Insider Trading Difficulties with the Definition of Insider Trading Statement of the Definition The Operation of the Current Legislative Provisions Prohibiting Insider Trading Introduction Complexity of Current Insider Trading Law Jurisdictions of the Insider Trading Prohibitions Who is an Insider? What is Inside Information? Possession of Insider Information Material Effect of Information When is Information Generally Available? Introduction Legislative History of Generally Available The Publishable Information Test Readily Observable Deductions, Conclusions or Inferences and Market Analysts Securities and Financial Products The Requisite Mental State The Transactions to Which the Prohibited Conduct Applies Trading Procuring Communicating ('Tipping') The Efficacy of the Operation of the Current Provisions Conclusion The Exceptions and Defences to the Prohibition Introduction Overview The Various Use of the Terms 'Exceptions' and 'Defences' The Burden of Proof for the Operation of Exceptions and Defences The Provenance of the Exceptions and Defences The Legislative Exceptions to the Prohibition Withdrawal from a Registered Scheme Underwriting Agreements Purchases Pursuant to Legal Requirement Communication Pursuant to Legal Requirement Chinese Walls Exception for Knowledge of Person's Own Intentions or Activities The Exceptions under the Corporations Regulations Director Obtaining a Share Qualification Acquisition of Securities under a Superannuation or Pension Fund Scheme Specified Insolvency Transactions in Good Faith Sale Under a Mortgage, Charge, Pledge or Lien The Statutory Defences Reform of Defences Conclusion Penalites and Remedies Introduction Who may be the Subject of an Action? Primary Liability as an Insider Ancillary Liability Criminal Consequences for Insider Trading Initiating Prosecutions Penalities for Insider Trading Disqualification from Directorships/Managing a Corporation Proceeds of a Crime The Practical Operation of the Criminal Sanctions - Hannes and Rivkin Overview R v Hannes R v Rivkin Civil Remedies Overview Sections 1043L and 1317HA The Trigger for Compensation Specific Circumstances for the Order of Compensation Civil Penalties Nature of Civil Penalties Declaration of Contravention Pecuniary Penalty Disqualification and Civil Penalties Effectiveness of Civil Penalty Provisions The Future Role of Civil Penalties Conclusion Enforcement and the Interrelationship Between Insider Trading and Continuous Disclosure Introduction Problems of Enforcement Overview Frequency of Insider Trading Difficulties of Detection An Inefficient Regulator? The Complexity of the Legislation and the Inadequacy of Penalites The Interrelationship Between Continuous Disclosure and Insider Trading Overview of Suggested Solutions to Problems of Enforcement The Continuous Disclosure and Insider Trading Provisions The Theoretical Underpinnings of Australia's Mandatory Disclosure Regime Disclosing Entities and Entities Exempted From Continuous Disclosure Entities Which Must Make Continuous Disclosure Disclosure Requirements on Listed Disclosing Entities The Disclosure Requirements for Unlisted Disclosing Entities Information Which Must Be Disclosed Australian Stock Exchange Listing Ruiles on Continuous Disclosure Overview The Operation of the Listing Rules in Respect to Continuous Disclosure The Exception to the Disclosure Requirement Structured/Periodical Disclosure Enforcement of the Continuous Disclosure Requirements Engendering a 'Culture of Discussion' Proposals for the Administrative Enforcement of Continuous Disclosure Conclusion Appendix One: Table of Australian Insider Trading Cases Criminal Prosection Civil Litigation Key Bibliography Articles/Books/Reports Case Law Legislation Other material