Insider Dealing: Law and Practice

Insider Dealing: Law and Practice

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Insider Dealing: Law and Practice is the first work to offer a detailed treatment of the rapidly developing law and practice relating to the complex area of insider dealing. Since R v McQuoid and Melbourne, and R v Uberoi, there has been a steady increase in the volume and severity of insider dealing prosecutions and civil market abuse proceedings. This text provides a detailed analytical critique of the recent cases and developments, including treatment of the background to this area, all cases, and the first ever sentencing guidelines for insider dealing. Written by a leading practitioner with unparalleled experience in both private practice and at the FSA, it offers a clearly structured, and practical treatment of the area, collecting together all key legislation and materials, and offering an easily accessible road map through the practice and procedure of an insider dealing investigation and prosecution or civil action.
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Product details

  • Hardback | 368 pages
  • 172 x 248 x 26mm | 779.99g
  • Oxford, United Kingdom
  • English
  • 0199672954
  • 9780199672950
  • 1,535,641

About Sarah Clarke

Sarah Clarke is a barrister at Serjeant's Inn Chambers. She was previously a Technical Specialist and In-House Counsel in the Financial Services Authority's Enforcement Division, where she led teams and advised on investigations, evidence, powers and regulatory law and procedure.
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Table of contents

1. Introduction to Insider Dealing ; 2. Trading on the Financial Markets - Essential Principles for Insider Dealing Cases ; 3. A History of Insider Dealing Legislation in the UK ; 4. The European Insider Dealing Directive ; 5. Part V of the Criminal Justice Act 1993 - The Criminal Offences (s.52 CJA) ; 6. Inside Information (s.56 CJA) ; 7. Insiders (s.57 CJA) ; 8. Securities and Regulated Markets ; 9. Dealing ; 10. Territorial Scope (s.62 CJA) ; 11. Statutory Defences ; 12. Prosecution of Insider Dealing Offences ; 13. Penalties and Sentencing ; 14. Insider Dealing - The Civil Market Abuse Regime ; 15. The Civil Offences ; 16. Section 118(2) Behaviour - Insider Dealing ; 17. Section 118(3) Behaviour - Improper Disclosure ; 18. Section 118(4) Behaviour - Misuse of Information ; 19. Market Abuse - Statutory Defence and Power to Impose Penalties ; 20. Market Abuse Proceedings - Article 6 ECHR and the Burden and Standard of Proof ; 21. Detection and Referral to Enforcement ; 22. The Enforcement Investigation ; 23. Criminal Proceedings ; 24. Enforcement Proceedings - Market Abuse Proceedings ; 25. The Future
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Review quote

Clarke has created a legal text that is not only useful, practical and authoritative, but also a rather fascinating explication of illustrative case law... his book should be considered a must-have purchase for the professional practitioner's library. * Phillip Taylor MBE and Elizabeth Taylor of Richmond Green Chambers * This is a remarkably clear exposition of a dark corner of the City of London. Clarkes book will be bought by lawyers, accountants and academics, but its avoidance of legal jargon taught this layman what insider dealing is, why its detection is important and what is being done about it. * Stephen Halliday, Times Higher Education * Clear, concise, comprehensive and practical. The coverage of cases and rulings at first instance is not readily available elsewhere. * Tony Shaw * This is a book which should be purchased by all Chambers and law firms who undertake work in insider dealing cases. ... this is a book written by a practitioner for practitioners. it combines diligence with a lightness of touch, and is highly recommended. * Jonathan Fisher QC, Archbold Review * iInsider Dealing: Law and Practicer is an excellent, and much welcomed, commentary on insider dealing from a person with unparalleled experience in this field. The text is as yseful for those who are new to the topic as it is for those with substantial expertise. It serves as a good introduction to insider dealing law and gives a practical overview of how insider dealing operates within our legal system. ... iInsider Dealing: Law and Practicer is a thorough, well
considered practitioner's text and should find its way into the hands of any purporting to have an interest in the financial markets. * Colin Wells, Criminal Law and Justice Weekly *
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