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Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
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Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Get Book Here
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author: Stuart Bazley
Publisher: Bloomsbury Publishing
ISBN: 1847665411
Category : Business & Economics
Languages : en
Pages : 387
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Book Description
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'). It provides a thorough analysis and assessment of both the law of market abuse and the operation of the Financial Services and Markets Tribunal ('FSMT') and the Upper Tribunal (Tax and Chancery) ('UT') following the implementation of the Tribunal, Courts and Enforcement Act 2007 in April 2010 when as part of an improved and unified system of statutory Tribunals the functions of the FSMT were transferred to the UT. This book captures the resulting changes to the Tribunal's governance and rules of procedure. It sets out to question whether the Tribunal has effectively held the FSA's enforcement decision making to account and whether its individual case decision making has provided a wider contribution to the law on market abuse. Includes: An historical analysis of the law concerning market manipulation and insider dealing regulation; Explores the relationship between the statutory definitions of behaviour constituting market abuse and the source of the FSA's enforcement powers together with those policy issues that shape how such powers are deployed; A general analysis of concepts of accountability allowing an appreciation of the framework of accountability within the Act as well as the benefits and deficiencies of accountability provided by the Courts when compared to those provided by a specialist Tribunal.
Author: Edward J. Swan
Publisher:
ISBN: 9780198759256
Category : Law
Languages : en
Pages : 0
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Book Description
Market Abuse Regulation is a wide-ranging and insightful analysis of the market abuse regime and the applications of the regulations in the UK and European Union. It provides detailed discussion of the implementation and interpretation of the regulation, the conduct of investigations, the defences and appeals available against a finding of market abuse, and overlapping United States regulation. The new edition explains and evaluates the changes introduced by the Markets in Financial Instruments Directive, the Market Abuse Directive, the Market Abuse Regulation, and the implementation of the Regulation on Wholesale Market Integrity and Transparency, which have resulted in dramatic expansion of the coverage of EU market abuse regulation. It addresses the regulation of additional financial instruments, the expansion to include new markets and trading facilities, and changes to the coverage of commodity derivatives and physical commodities. It discusses the dramatic changes to the format of regulation as a result of the restructuring of UK regulators; as well as the addition of new EU supervisory bodies with revised powers over national regulation within the EU. Beyond the EU, it discusses international protocols and treaties which have also added to the regulatory structure.
Author: Barry Rider
Publisher: Bloomsbury Publishing
ISBN: 1526509121
Category : Law
Languages : en
Pages : 557
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Book Description
Market abuse and insider dealing remains and always has been a real concern for all those that operate in the financial sector. Some of the earliest laws relating to trade outlaw attempts to artificially interfere with the proper functions of the markets and ensure fairness. With recent changes to both the UK and European regimes the line between what is normal (and sensible) business practice and what may now be classified as market abuse is becoming increasingly fine. This raises questions about communications between financial institutions and investors, and about corporate and analyst access. Market Abuse and Insider Dealing provides guidance on and explanation of the range of potential legal and regulatory responses to this complex area of law. Providing a thorough analysis and assessment of the law relating to market abuse and insider dealing, the new fourth edition includes: - analysis of the impact of Brexit - significant new case law and legislation including MiFID II; Money Laundering Regulations 2017; the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; Criminal Finances Act 2017 with Unexplained Wealth Orders; The Fifth Money Laundering Directive - the new Corporate Governance Code - new content on: control and senior managers' responsibility/liability; the FCAs competition law jurisdiction where it is appropriate to do so in relation to market abuse; a new table of UK decided market abuse cases This title is included in Bloomsbury Professional's Banking and Finance Law online service.
Author: Andri Fannar Bergþórsson
Publisher: BRILL
ISBN: 9004366652
Category : Business & Economics
Languages : en
Pages : 326
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Book Description
The Market Abuse Regulation (MAR) entered into force in 2016 within the European Union, which introduced a fully harmonized ban on market manipulation. Even though the regulation is quite detailed, the terms used to define market manipulation are relatively vague and open-ended. In What Is market manipulation? Dr. Andri Fannar Bergþórsson offers unique insight to and an interpretation of the concept of market manipulation, which includes an analysis of case law from the Nordic countries. The aim of the book is to clarify the concept as described in MAR and to provide readers some guidelines to distinguish between lawful behaviour and market manipulation (the unlawful behaviour). Bergþórsson convincingly argues that misinformation is an essential element of all forms of market manipulation.
Author: Sarah Clarke
Publisher: OUP Oxford
ISBN: 9780199672950
Category : Law
Languages : en
Pages : 0
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Book Description
Insider Dealing: Law and Practice provides a practical guide to the law in this area, including both the criminal and civil regimes, treatment of recent cases and developments, investigation, enforcement, penalties and sentencing.
Author: Marco Ventoruzzo
Publisher: Oxford University Press, USA
ISBN: 9780198811756
Category : Antitrust law
Languages : en
Pages : 0
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Book Description
This book analyses the European market abuse regime contained in the Market Abuse Regulation (MAR) and related directives and regulations. Written by leading scholars in the field of capital market law from a number of European jurisdictions, the book is divided into two main parts. The first consists of chapters considering relevant issues by topic; whilst the second provides the first article-by-article commentary on the Regulation, with a detailed and technical analysis of its terms. In the first part guidance is arranged by topic and includes aspects not directly addressed by MAR such as enforcement, and the impact of US securities regulation. As well as considering the sources of market abuse regulation in general, this first part also examines its theoretical and economic framework in order to provide better understanding of the Regulation itself.
Author: United States Sentencing Commission
Publisher:
ISBN:
Category : Sentences (Criminal procedure)
Languages : en
Pages : 456
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Book Description
Author: Barry Rider
Publisher: Edward Elgar Publishing
ISBN: 178347579X
Category : Law
Languages : en
Pages : 851
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Book Description
A significant proportion of serious crime is economically motivated. Almost all financial crimes will be either motivated by greed, or the desire to cover up misconduct. This Handbook addresses financial crimes such as fraud, corruption and money laundering, and highlights both the risks presented by these crimes, as well as their impact on the economy. The contributors cover the practical issues on the topic on a transnational level, both in terms of the crimes and the steps taken to control them. They place an emphasis on the prevention, disruption and control of financial crime. They discuss, in eight parts, the nature and characteristics of economic and financial crime, The enterprise of crime, business crime, the financial sector at risk, fraud, corruption, The proceeds of financial and economic crime, and enforcement and control. Academics interested in criminology, law, as well as business and legal studies students will find this book to be an invaluable resource. Practitioners, including lawyers, compliance and risk managements, law enforcement officers, and policy makers will also find the points raised to be of use.
Author: Helene Andersson
Publisher: Bloomsbury Publishing
ISBN: 1509942491
Category : Law
Languages : en
Pages : 305
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Book Description
This book examines the legislative patchwork surrounding access to the European Commission's cartel case files. Recent legislative changes have increased the value of the files and have also highlighted the inherent tension between a number of competing interests affecting their accessibility. The Commission is undoubtedly caught between a rock and a hard place, charged with the task to ensure due process, transparency and effectiveness while at the same time promoting both public and private enforcement of the EU competition rules. The author considers how best to ensure a proper balance between the legitimate, but often diverging interests of parties, third parties and national competition authorities in these cases. The book provides a unique and comprehensive presentation of the EU legislation and case law surrounding access to the Commission's cartel case files. The author examines the question of accessibility from three different perspectives: that of the parties under investigation, cartel victims, and national competition authorities. The author also considers the EU leniency system and whether any legislative changes could make the attractiveness of the system less dependent on the possibilities of cartel victims to access the evidence contained in the Commission's case files.
