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Готові списки джерел за темами / Insider Trading Regulation

Добірка наукової літератури з теми "Insider Trading Regulation"

Автор: Grafiati

Опубліковано: 15 вересня 2021

Оновлено: 1 лютого 2022

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Статті в журналах з теми "Insider Trading Regulation":

1

Hnyluch Sobański, Konrad. "Inside information and insider trading." Studenckie Prace Prawnicze, Administratywistyczne i Ekonomiczne 29 (September 30, 2019): 119–34. http://dx.doi.org/10.19195/1733-5779.29.8.

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EU law acts often have a built-in element of the so-called self-control, consisting in verification of the effectiveness of regulation after a specified period of time from the entry into force of a legal act. In the year 2019, the Market Abuse Regulation MAR, which in 2016 introduced new regulations concerning confidential information and trade related to internal information, causing a revolution in the capital market, will be reviewed. Numerous new duties were imposed on market participants, among others in the field of transaction reporting, access to confidential information, the circle of persons having access to confidential information. Due to the above, the article discusses the regulations of confidential information and related obligations imposed on market participants, based on the current achievements of the doctrine and judicatory. These considerations have been confronted with the undesirable element of having confidential information, i.e. insider trading. Often, an entity that has access to specific confidential information uses it in an unlawful manner to achieve its own profit. This causes inequalities in access to market information and leads to distortions in the transparency of financial markets. The article also included a polemic on the morality of insider dealing. Informacja poufna w obrocie papierami wartościowymiAkty prawa unijnego często mają wbudowany element tak zwanej samokontroli self controlling, polegający na weryfikacji skuteczności regulacji po upływie określonego czasu od wejścia w życie aktu prawnego. Na rok 2019 przypada rewizja rozporządzenia MAR Market Abuse Regulation, które wprowadzając w 2016 roku nowe regulacje dotyczące informacji poufnej i obrotu związanego z informacją wewnętrzną, spowodowało rewolucję na rynku kapitałowym. Na uczestników rynku zostały nałożone nowe liczne obowiązki, między innymi w zakresie raportowania transakcji, dostępu do informacji poufnej czy też kręgu osób mających dostęp do informacji poufnej. Z uwagi na to w artykule omówione zostały regulacje informacji poufnej oraz związanych z nią obowiązków nałożonych na uczestników rynku, opierając się na aktualnym dorobku doktryny i dostępnym orzecznictwie. Rozważania zostały zestawione z niepożądanym elementem posiadania informacji poufnej, to jest insider trading. Często podmiot mający dostęp do określonych informacji poufnych wykorzystuje je w sposób bezprawny dla osiągnięcia własnego zysku. Powoduje to nierówności w dostępie do informacji rynkowych i prowadzi do zaburzenia transparentności rynków finansowych. W artykule podjęto również polemikę co do moralności wykorzystywania informacji poufnych.

2

Rundfelt, Rolf. "Insider Trading: Regulation in Europe." Journal of Accounting, Auditing & Finance 1, no. 2 (April 1986): 125–30. http://dx.doi.org/10.1177/0148558x8600100205.

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This paper looks at insider trading regulation in Europe and finds a broad spectrum. Two countries, the United Kingdom and Sweden, have insider regulations very similar to those in the United States. The author attributes this to well-developed stock markets and the Swedish search for confidence in their stocks. At the other extreme, Belgium, the Netherlands, Luxembourg, and Switzerland have no regulation at present.

3

Manchikatla, Anil Kumar, and Rajesh H. Acharya. "Insider trading in India – regulatory enforcement." Journal of Financial Crime 24, no. 1 (January 3, 2017): 48–55. http://dx.doi.org/10.1108/jfc-12-2015-0075.

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Purpose The purpose of this paper is to study the effectiveness of insider trading enforcement actions in India and international dimensions. Design/methodology/approach The research is based on the insider trading regulations and amendments made during the period 1992-2015. Findings The notable observation of the study is the dearth of insider trading conviction and the paucity of prosecution for insider trading offences in India. It is difficult to resist the conclusion that surveillance and enforcement matter more than the drafting of the relevant statutes and regulations in emerging markets. Whereas, developed countries have a better record of prosecution than emerging markets. Research limitations/implications Future research may explore the factors that hinder effective regulation and recommend new methods to increase the impact of Securities and Exchange Board of India insider trading regulation. Originality/value The current paper presents guidance for the foreign institutional investors, regulators and market participants on insider trading regulation and prosecution in India.

4

Liu, Hong, Lina Qi, and Zaili Li. "Insider trading, representativeness heuristic insider, and market regulation." North American Journal of Economics and Finance 47 (January 2019): 48–64. http://dx.doi.org/10.1016/j.najef.2018.11.011.

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5

조인호. "Regulation of Tipping in Insider Trading Regulation." KOOKMIN LAW REVIEW 29, no. 3 (February 2017): 459–90. http://dx.doi.org/10.17251/legal.2017.29.3.459.

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6

Jardak, Maha Khemakhem, and Hamadi Matoussi. "The effectiveness of insider trading disclosure policies: US and EU comparison." Journal of Financial Reporting and Accounting 18, no. 3 (June 29, 2020): 591–614. http://dx.doi.org/10.1108/jfra-09-2019-0120.

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Purpose The purpose of this study is to examine the effectiveness of financial market rules in protecting minorities. Design/methodology/approach The study compares two alternative disclosure rules on insider trading, namely, the market abuse directive (Directive 2004/72/EC), inspired from the United State (US) insider trading regulation enacted by the Sarbanes–Oxley act and the transparency directive enacted by the European (Directive 2004/109/EC) dealing with the crossing of the shareholding threshold. To investigate which one is more effective in signaling reserved information, and thus in reducing information asymmetry, the authors run an event study on the French context, where both regulations are adopted. The data were hand collected from the French stock exchange securities commissions during the two years following the implementation of the two regulations in 2004. The final sample consists of 363 insiders trading and 35 crossing shareholding thresholds for 10 top French firms during the period 2006-2007. Findings The results show that the French market reacts significantly to insider trading, but poorly to the crossing shareholding thresholds. Abnormal returns are greater after insider purchases than after crossing up thresholds. These findings support the superiority of the insider disclosure regulation, as it has better information content and provides better protection to minorities. Research limitations/implications The study contributes to the corporate governance literature by comparing two disclosure-trading policies. The authors conclude that regulation of disclosure of insider trading along the lines of US disclosure rules is more informative to the market and thus more relevant and important than disclosure of cross-threshold trades. Practical implications The study contributes to the corporate governance literature by comparing two disclosure-trading policies. The authors conclude that regulation of disclosure of insider trading along the lines of US disclosure rules is more informative to the market and thus more relevant and important than disclosure of cross-threshold trades. This finding can be helpful for the securities lawmakers and regulators in the process of insider trading law enforcement. Originality/value Previous researchers approached the question of insider trading focusing on the identity of insiders. In the research, the authors address the question from another perspective, namely, the crossing of thresholds. Another methodological contribution of the study is the use of a market model that incorporates GARCH (generalized autoregressive conditional heteroskedastic) effect and time-varying systematic risk parameter (β), which is recommended to tackle the classical event study problem of detecting the exact timing of the event.

7

Ludman, Earl A. "Insider Trading: The Case for Regulation." Journal of Accounting, Auditing & Finance 1, no. 2 (April 1986): 118–24. http://dx.doi.org/10.1177/0148558x8600100204.

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8

Engelen, Peter-Jan. "Structural Problems in the Design of Market Abuse Regulations in the EU." Journal of Interdisciplinary Economics 19, no. 1 (October 2007): 57–82. http://dx.doi.org/10.1177/02601079x07001900105.

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This article analyzes the regulatory and supervisory design of market abuse regulations in the EU in order to set the right incentives for corporate insiders to abstain from illegal trading. The analysis is illustrated by the Belgian insider trading law. Although the level of punishment seems to be rather high, the probability of conviction for insider trading is very low. The analysis suggests that the expected costs component of this crime is too low compared to the expected insider trading profits. In order to obtain a higher deterrence of the insider trading prohibition, a change in the design of the financial regulation and supervision must be made. To increase the probability of conviction broad investigative powers and the authority to impose administrative sanctions have to be assigned to the financial markets supervisor, as was recently the case with the European Market Abuse Directive. JEL classification: K42

9

조인호. "Tippee Liability in Insider Trading Regulation." Korean Journal of Securities Law 18, no. 1 (April 2017): 99–123. http://dx.doi.org/10.17785/kjsl.2017.18.1.99.

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10

Akashi, Tomoko. "Regulation of Insider Trading in Japan." Columbia Law Review 89, no. 6 (October 1989): 1296. http://dx.doi.org/10.2307/1122831.

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Дисертації з теми "Insider Trading Regulation":

1

Sjödin, Ulrika. "Insiders' outside/outsiders' inside : rethinking the insider regulation /." Stockholm : School of Business, Stockholm University, 2006. http://urn.kb.se/resolve?urn=urn:nbn:se:su:diva-944.

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2

Sjödin, Ulrika. "Insiders’ outside/Outsiders’ inside : Rethinking the insider regulation." Doctoral thesis, Stockholm University, School of Business, 2006. http://urn.kb.se/resolve?urn=urn:nbn:se:su:diva-944.

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Financial speculation has increased dramatically over the last 30 years. This means that a practice that used to be viewed as immoral gambling has become legitimate financial trade. This book explores the genealogy of the coexisting insider trading laws. The insider regulation prohibits trade based on privileged information in order to create equal trading conditions, and in this way uphold confidence in the financial markets among the general public. However, this study shows that the existing view of the insider regulation is misleading and that the regulation is best understood as a game rule aiming to stimulate financial speculation. The protection interest is therefore not primarily the general public, but the financial system as such: the professional market actors sustaining the speculative activities and a growing financial sector.

The consequence of stimulating financial speculation is that today’s authorities are attempting to make the financial markets into a lotto-like game, rather than a market for long-term investment. To make the financial markets into liquid and volatile public “games” means that the risks involved in the financial speculation are created by the human hand and the economic system itself rather than being naturally given. This places desire rather than rational needs as the fundamental ground of the economy. The concluding question is; why are we making our economy into a game?

3

Mkwananzi, Sizalobuhle Sibongumuzi Mpo. "Theoretical and practical difficulties in regulating insider trading in South Africa and possible mechanisms of improvement of shortcomings in the regulatory framework." Diss., University of Pretoria, 2020. http://hdl.handle.net/2263/76676.

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Anti-insider trading provisions were initially enacted to inter alia; enhance confidence in South African financial markets by contributing to the maintenance of a stable financial market environment by promoting the international competitiveness of investors in securities services in the country. In attempts to determine whether the Insider trading regulations are indeed effective at deterring insider trading contraventions as well as enforcing contraventions thereof, the research will subsequently examine the relevant legislation which pertains to insider trading in South Africa as well as analyse any definitional ambiguities and difficulties caused therein. Wherefore other than where the definitions in the legislation is lacking, the research will further discuss what additional problems are drawn from the current legislative insider trading framework. An analysis will be done regarding the difficulties experienced by the Financial Sector Conduct Authority (hereafter the FSCA or the Regulator) as the entity responsible for the supervision of compliance with market abuse provisions in discharging of its duties as a result of the current legislation and/or the lack of clarity therefore. A comparative study will consequently be conducted in the research to establish how Australia has arguably become acknowledged to have the most progressive and developed market abuse legislation in the world compared to that of South Africa. Ultimately, recommendations will be presented using the above comparisons on what mechanisms can be adopted to improve on South Africa’s regulation of insider trading.
Mini Dissertation (LLM (Corporate Law))--University of Pretoria, 2020.
Mercantile Law
LLM
Unrestricted

4

Kabir, Rezaul. "Security market regulation an empirical investigation of trading suspension and insider trading restriction /." Maastricht : Maastricht : Datawyse ; University Library, Maastricht University [Host], 1990. http://arno.unimaas.nl/show.cgi?fid=5639.

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5

Dunwiddie, Louisa. "Perspectives on Insider Trading Regulation: Examining Economic and Ethical Implications." Scholarship @ Claremont, 2015. http://scholarship.claremont.edu/cmc_theses/1056.

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This paper will discuss arguments for and against the regulation of insider trading, examining economic discussions of efficiency and philosophical outlines of justice based arguments. I will also outline the development of legislation in the United States over the last century, and examine recent events in order to identify the current sentiments regarding government prosecution. The most efficient outcome for the market is found through actions guided by justice. By using regulation as a restraint to unbounded self-interest, investor confidence in the fairness of the market remains high and individuals are protected from abuses to their property and rights.

6

MacDonald, JoAnne M. "The regulation of insider trading : a comparative analysis of the liability of non-traditional insiders." Thesis, McGill University, 1986. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=66233.

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7

Grankvist, Mats Banking &amp Finance Australian School of Business UNSW. "Insider trading regulation ??? the impact on world equity market performance and information based trading." Awarded by:University of New South Wales. School of Banking & Finance, 2005. http://handle.unsw.edu.au/1959.4/23466.

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This thesis investigates the impact of insider trading regulation and its enforcement on bid-ask spreads, information asymmetry proxies, volatility, trade frequency and trade sizes. It employs an exclusive intra-day market-microstructure data-set for 29 countries and 32 exchanges and utilizes structural simultaneous equations models with distributed geometric lags estimated with GMM, controlling for market architecture, trading demand, minimum tick size and Fama-French factors. This thesis finds that enforcement of insider trading regulation in a country, rather than the strictness of written insider trading law, reduces information asymmetry and bid-ask spreads, increases volatility, and has an overall positive impact on traded value. The positive impact is mostly concentrated in the smallest stocks in the sample. The regulation of disclosure requirements has similar, but not identical, beneficial externalities in the market. The results support the prediction by Bhattacharya and Daouk (2002) that the fall in the cost of equity that results from insider trading prosecution in a country is due to a reduction in adverse selection. This thesis also find some support of the free inside information scenario of Medrano and Vives (2004), where volatility increases when insiders are forced to disclose the inside information before legally trading on it, if insider trading is not permitted and the regulation is enforced.

8

Cho, In-ho. "An evaluation of insider trading regulation in the Republic of Korea : what are the policy considerations and what is necessary for Korea to strengthen insider trading regulation? /." Thesis, Connect to this title online; UW restricted, 2004. http://hdl.handle.net/1773/9616.

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9

Chitimira, Howard. "The regulation of insider trading in South Africa: a roadmap for effective, competitive and adequate regulatory statutory framework." Thesis, University of Fort Hare, 2008. http://hdl.handle.net/10353/230.

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Insider trading is one of the practices that (directly or indirectly) lead to a host of problems for example inaccurate stock market prices, high inflation, reduced public investor confidence, misrepresentation and non disclosure of material facts relating to securities and financial instruments. Again it reduces efficiency in the affected companies and eventually leads to economic underperformance. The researcher observed that the South African insider trading regulatory framework has some gaps and flaws which need to be adequately addressed to ensure efficient and stable financial markets. Therefore, the aim of this research is to provide a clear roadmap for an effective, efficient, adequate and internationally competitive insider trading regulatory framework in South Africa. In order to achieve the above stated aim, the historical development of the regulation insider trading is critically analyzed. The effectiveness and adequacy of the Insider Trading Act, 135 of 1998 is also discussed. Furthermore, the prohibition of insider trading under Securities Services Act, 36 of 2004 is explored and analyzed to investigate its adequacy. The role of the Financial Services Board, the Courts and the Directorate for Market Abuse is also scrutinized extensively. Moreover, a comparative analysis is undertaken of the regulation of insider trading in other jurisdictions of United States of America, Canada and Australia. This is done to investigate any lessons that can be learnt or adopted from these jurisdictions. The researcher strongly contends that having the best insider trading laws on paper alone will not cure the insider trading problem. What is required are adequate laws that are enforced effectively in South African courts. Therefore an adequate insider trading regulatory framework must be put in place to improve the efficiency of South African financial markets, to maintain a stable economy, combat misrepresentation and non disclosure of material facts in transactions relating to securities. The researcher has attempted to state the law as at 31 August 2007.

10

Trottman, Bischof Renata. "Regulation of insider trading : problems and solutions in the United States and Switzerland." Thesis, McGill University, 1990. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=59841.

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In this comparative study a broad view of insider trading in the United States and Switzerland will be presented. The goal is to compare the developments in two different nations with different legal traditions.
While in the United States a long tradition of literature and cases already exists and a development of cases can be shown, the situation in Switzerland is completely different because the law was enacted only a year ago.
It is the task of this thesis not only to outline the different developments but also to demonstrate the influence the United States had on to the process of legislation in Switzerland.
It may be the price of the internationalization of the capital market that a nation such as Switzerland with some importance in this field is no longer completely free to legislate.

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Книги з теми "Insider Trading Regulation":

1

Langevoort, Donald C. Insider trading: Regulation, enforcement & prevention. [St. Paul, Minn.] (610 Opperman Dr., St. Paul, 55164): West Group, 2002.

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2

Langevoort, Donald C. Insider trading: Regulation, enforcement, and prevention. Deerfield, IL: Clark Boardman Callaghan, 1991.

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3

Kang, Shew Meng. The regulation of insider trading in Malaysia. Kuala Lumpur: Malayan Law Journal Sdn. Bhd., 2000.

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4

Suter, Jacqueline A. C. The regulation of insider dealing in Britain. London: Butterworths, 1989.

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5

Swan, Edward J. Market abuse regulation. Richmond, U.K: Richmond Law & Tax, 2006.

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6

Steinberg, Marc I. Securities regulation. 2nd ed. New York, NY: M. Bender, 1993.

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7

Steinberg, Marc I. Securities regulation. New York, NY (235 E. 45th St., New York 10017): M. Bender, 1986.

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8

Steinberg, Marc I. Securities regulation. 3rd ed. New York: M. Bender, 1998.

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9

Steinberg, Marc I. Securities regulation. 5th ed. Newark, NJ: LexisNexis, 2008.

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10

Steinberg, Marc I. Securities regulation. 4th ed. Newark, NJ: LexisNexis, 2004.

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Частини книг з теми "Insider Trading Regulation":

1

Overland, Juliette. "The regulation of insider trading." In Corporate Liability for Insider Trading, 13–38. New York, NY : Routledge, 2019. | Series: The law of financial crime: Routledge, 2019. http://dx.doi.org/10.4324/9781315098210-2.

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2

Moosa, Imad A. "Good Regulation: Payday Loans, Securitisation and Insider Trading." In Good Regulation, Bad Regulation, 56–77. London: Palgrave Macmillan UK, 2015. http://dx.doi.org/10.1057/9781137447104_4.

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3

Weiping, He. "Insider Trading and Investor Protection." In The Regulation of Securities Markets in China, 125–70. New York: Palgrave Macmillan US, 2018. http://dx.doi.org/10.1057/978-1-137-56742-0_5.

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4

McCahery, Joseph. "Market Regulation and Particularistic Interests: The Dynamics of Insider Trading Regulation in the US and Europe." In The New World Order in International Finance, 50–75. London: Palgrave Macmillan UK, 1997. http://dx.doi.org/10.1007/978-1-349-25315-9_3.

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5

Yan, Xin, Lawrence R. Klein, Viktoria Dalko, Ferenc Gyurcs´any, and Michael H. Wang. "Preventing Stock Market Crises (IV): Regulating Trading by Corporate Insiders." In Regulating Competition in Stock Markets, 133–64. Hoboken, NJ, USA: John Wiley & Sons, Inc., 2015. http://dx.doi.org/10.1002/9781119202714.ch6.

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6

Arshadi, Nasser, and Thomas H. Eyssell. "Securities Regulations, Market Efficiency, and the Role of the SEC." In The Law and Finance of Corporate Insider Trading: Theory and Evidence, 17–41. Boston, MA: Springer US, 1993. http://dx.doi.org/10.1007/978-1-4615-3244-6_3.

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7

"Regulation is Necessary, but How?" In Insider Trading, 171–75. Yale University Press, 2017. http://dx.doi.org/10.2307/j.ctvm201gd.27.

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8

McGee, Robert. "Insider Trading Regulation in Transition Economies." In Insider Trading, 67–87. CRC Press, 2008. http://dx.doi.org/10.1201/9781420074031.ch5.

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9

Steinberg, Marc I. "Insider Trading." In Rethinking Securities Law, 211–38. Oxford University Press, 2021. http://dx.doi.org/10.1093/oso/9780197583142.003.0007.

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Анотація:

This chapter addresses regulation of insider trading in the United States. Uncertainties and inconsistencies prevail in this setting resulting in disparate treatment for similarly situated actors. Other developed countries, while applying many principles of U.S. securities law to their securities markets, have rejected the U.S. approach in the insider trading context. To redress this situation, Congress should enact comprehensive legislation that meaningfully addresses the contours of the insider trading prohibition. Among other mandates, this legislation would: require corporate insiders to provide advance notice of their contemplated transactions in the subject company’s equity securities; bar corporate insiders and other access persons from trading in the subject company’s securities during the interval between the occurrence of a reportable event and the making of a SEC filing (such as a Form 8-K); close loopholes that currently exist with respect to the propriety of insider trading plans; and adopt a comprehensive access approach governing the legality of trading and tipping on the basis of material nonpublic information.

10

Pedro, De Carvalho Robalo. "5 Market Abuse." In Regulation of Commodities Trading. Oxford University Press, 2020. http://dx.doi.org/10.1093/law/9780198799962.003.0005.

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This chapter assesses market abuse. Market abuse offences, in all of their possible forms, frustrate the concept of market efficiency by allowing undue advantage to the individuals performing the abusive actions, thus jeopardizing the development of fair and orderly markets. In turn, this is likely to harm confidence by undermining investors' beliefs that the market is fair, leading them to withdraw their investments. In Europe, the first European-wide legislative package was initiated with the adoption of the Market Abuse Directive in 2003 (Directive 2003/6/EC), with the aim of providing a broad framework that would address market manipulation and insider dealing practices in the EU. However, in the aftermath of the Financial Crisis in 2008, a review of the regime was required as a number of deficiencies were found. In 2011 and in order to address these issues, the European Commission adopted the proposal for the Regulation on insider dealing and market manipulation (MAR) as well as the Directive on Criminal Sanctions for Insider Dealing and Market Manipulation (CSMAD).

Тези доповідей конференцій з теми "Insider Trading Regulation":

1

Jiang, Huadong. "Insider Trading Regulation and the Distribution of Securities Market Profit." In 2010 International Conference on Management and Service Science (MASS 2010). IEEE, 2010. http://dx.doi.org/10.1109/icmss.2010.5578278.

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Ulrich, Patrick, and Dennis Anselmann. "Insider trading on the German capital market — Can insiders achieve excess returns through their information advantage?" In Corporate governance: A search for emerging trends in the pandemic times. Virtus Interpress, 2021. http://dx.doi.org/10.22495/cgsetpt17.

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This study investigates whether corporate insiders can generate excess returns on the German capital market due to their information advantage. This is done with the help of an event study based on a market model that estimates the expected returns. Furthermore, the effect size of individual aspects is examined in a multiple regression. It is shown that insiders can achieve short-term excess returns of up to 2.1% after purchases and of up to -2.95% after sales. Moreover, these are strikingly high for, relative to market capitalization, transactions of smaller firms and transactions of other executives. The greatest influence on the excess return of a transaction is the market capitalization of the company in the case of buy transactions, while the excess return of sell transactions is largely determined by the share of trading volume in the outstanding shares. An imitation of insider transactions by outsiders may allow for excess returns, but this strongly depends on the share to be traded due to the bid-ask spread as well as the trading commissions. Despite the existence of regulation, it is evident that insiders can achieve significant excess returns, presumably on the basis of non-public information

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Liu, Shuo. "Game Analysis and Agent-based Modeling Simulation Model Design for the Regulation of Inside Trading in Stock Market." In 2nd International Conference on Soft Computing in Information Communication Technology. Paris, France: Atlantis Press, 2014. http://dx.doi.org/10.2991/scict-14.2014.8.

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