Download or read book Insider Dealing written by Gil Brazier and published by Routledge. This book was released on 2012-09-10 with total page 371 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book concentrates on the restatement of the law contained in Part 5 of the Criminal Justice Act 1993. It sets out the law and practice governing the commission of the criminal offence of insider dealing (and of certain other securities market offences) in the United Kingdom. In doing so, it also places the relevant legislation into the context of securities law as a whole. The historical background is explained and there is discussion of the way in which securities business is effected in the City and how it is presently regulated. The book is practical in its approach and will therefore appeal to experienced practitioners and compliance officers.
Download or read book Report on Trading in Unlisted Securities Upon Exchanges Pursuant to Section 12 f of the Securities Exchange Act of 1934 written by United States. Securities and Exchange Commission and published by . This book was released on 1936 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation of Securities Trading by Members of National Securities Exchanges and the Sale of Investment Advisers of Registered Investment Companies written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 1973 with total page 66 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Compilation of Releases Dealing with Matters Arising Under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940 written by United States. Securities and Exchange Commission and published by . This book was released on 1968 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933 written by United States. Securities and Exchange Commission and published by . This book was released on 1965 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Dealing in Securities written by Christos Nifadopoulos and published by . This book was released on 2021 with total page 440 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Begins with the essential questions: - whether brokerage and dealing in securities is regulated in a jurisdiction - what aspects of the activity could bring it in scope for authorisation; and - how it is determined which regulator has legal competence to supervise the business in scope. The recent liberalisation of national authorisation regimes across Europe in the wake of MiFID II and Brexit, which has resulted in tensions with recent attempts by the EU to harmonise centrally the single market authorisation regime, is fully addressed. It reviews the details of the activities of sales, sales trading, trading and execution, what they each constitute (with reference to established communication and order management systems), the potential conflicts of interest that they bring about for a firm and how such conflicts can be managed. Each of these activities are mapped against specific regulatory obligations, such as best execution, pre- and post-trade transparency, inducements, dealing commissions rules, the short selling regime and shareholder disclosures, depicting the obligations schematically to assist the practitioner. Also covers: - dealing commission unbundling, which has reformed the way the provision and consumption of independent research and corporate access are related to execution services, - the question of multilateral trading, in other words the point at which the activity of a broker becomes exchange-like and needs to be authorised as such, - principal trading and the ability of firms to advance risk to their clients in the wake of the Volcker rule in the United States and similar legislation in Germany and elsewhere, - the rise of Systematic Internalisers and the constraints imposed on them, such as the pre-trade transparency requirements and the tick size regime, and - electronic trading, algorithmic trading, direct electronic access and high frequency trading, as well as the risk control framework that is relevant to all these activities."--
Download or read book Capital Markets Handbook written by Charles L. Bennett (Lawyer) and published by Wolters Kluwer Law & Business. This book was released on with total page 876 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Capital Markets Handbook, Seventh Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations."--Publisher's website.
Download or read book Corporate Finance and the Securities Laws 6th Edition written by Johnson, McLaughlin, and Haueter and published by Wolters Kluwer. This book was released on 2019-12-10 with total page 1708 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Sixth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives
Download or read book International Securities Law and Regulation written by Dennis Campbell and published by BRILL. This book was released on 2021-09-13 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt: With this valuable text securities lawyers from the world's major trading nations offer valuable insights into the workings and legal underpinnings of global securities markets. They examine listing requirements for various stock exchanges and markets, the globalization of mutual funds, the impact of offshore funds, Internet and public offerings, planning and distribution of private securities, requirements for public offerings, disclosure and compliance requirements across international markets, and a great deal more. Published under the Transnational Publishers imprint.
Download or read book Insider Trading and the Stock Market written by Henry G. Manne and published by . This book was released on 1966 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Regulation of Insider Trading written by Barry Alexander K. Rider and published by . This book was released on 1979 with total page 500 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation written by Marc I. Steinberg and published by Law Journal Press. This book was released on 1984 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Download or read book Regulation of Securities and Futures Dealing written by John R. C. White and published by . This book was released on 1992 with total page 466 pages. Available in PDF, EPUB and Kindle. Book excerpt: With the coming into force of the new rules of the Securities and Futures Authority (SFA), help with interpretation of specific points is now more important than ever.
Download or read book Securities Activities of Banks written by Melanie L. Fein and published by Aspen Publishers. This book was released on 1998 with total page 1196 pages. Available in PDF, EPUB and Kindle. Book excerpt: The second edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. SECURITIES ACTIVITIES OF BANKS, Second Edition provides: In-depth discussions of the securities activities now permissible for banks and bank holding companies Clear explanations of how securities laws affect banks' securities activities A complete review of how banks are regulated - including foreign banks and affiliates Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, joint activities with securities firms, fiduciary activities, and more.
Download or read book Research Handbook on Insider Trading written by Stephen M. Bainbridge and published by Edward Elgar Publishing. This book was released on 2013-01-01 with total page 498 pages. Available in PDF, EPUB and Kindle. Book excerpt: In most capital markets, insider trading is the most common violation of securities law. It is also the most well known, inspiring countless movie plots and attracting scholars with a broad range of backgrounds and interests, from pure legal doctrine to empirical analysis to complex economic theory. This volume brings together original cutting-edge research in these and other areas written by leading experts in insider trading law and economics. The Handbook begins with a section devoted to legal issues surrounding the USÕs ban on insider trading, which is one of the oldest and most energetically enforced in the world. Using this section as a foundation, contributors go on to discuss several specific court cases as well as important developments in empirical research on the subject. The Handbook concludes with a section devoted to international perspectives, providing insight into insider trading laws in China, Japan, Australia, New Zealand, the United Kingdom and the European Union. This timely and comprehensive volume will appeal to students and professors of law and economics, as well as scholars, researchers and practitioners with an interest in insider trading.
Download or read book The Law of Securities Commodities and Bank Accounts written by Marek Dubovec and published by Edward Elgar Publishing. This book was released on 2014-04-25 with total page 251 pages. Available in PDF, EPUB and Kindle. Book excerpt: The author identifies and explains the critical components and functions of the systems for the holding of rights in accounts with intermediaries, identifying underlying principles that should be embodied in modern legislation underpinning the law of a
Download or read book Self employment Tax written by and published by . This book was released on 1988 with total page 12 pages. Available in PDF, EPUB and Kindle. Book excerpt:
