Law Enforcement and the History of Financial Market Manipulation

Law Enforcement and the History of Financial Market Manipulation PDF

Author: Jerry Markham

Publisher: Routledge

Published: 2015-01-28

Total Pages: 456

ISBN-13: 1317466373

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First Published in 2014. This book maps the issues and traces the U.S. government's efforts to properly regulate, monitor, and prevent financial speculation and price manipulation in various markets. It begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also discusses the difficulty of initiating successful prosecutions of financial fraud and price manipulation and proposes a new approach to preventing manipulative practices.

The Little Book of Market Manipulation

The Little Book of Market Manipulation PDF

Author: Gregory J Durston

Publisher: Waterside Press

Published: 2020-01-29

Total Pages: 152

ISBN-13: 1909976733

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Market manipulation comes in many forms. For a wrong that some say started life with groups of men dressed in Bourbon uniforms spreading false information in cod French accents, the speed of change has accelerated dramatically in the modern era, via the Internet, novel forms of electronic communication, ultra-fast computer-generated trading, new types of financial instruments, and increased globalisation. This means that opportunities for carrying-out new forms of manipulation now exist on an exponential scale. Looks at the mechanisms, criminal and civil, to confront market manipulation, its enforcement regimes, legal and evidential rules and potential loopholes. Shows how every individual involved in market transactions can fall foul of the law if they do not ensure integrity in their dealings. The ‘tricks’ used by those seeking to benefit from this special category of fraud and the relationship of dedicated provisions to the general law is outlined, with key statutory provisions set out in an appendix. A valuable accompaniment to The Little Book of Insider Dealing (Waterside Press, 2018). An invaluable pocket guide and law primer. An essential guide for investors. With practical examples and decided cases. An up-to-date treatment of a fast-moving topic. Describes both criminal and regulatory regimes. Contents include Forms of Market Manipulation; Suspicion, Identification, Detection and Investigation; Obligations and Enforcement; Criminal Offences, Defences and Punishment; Regulatory Provisions and Penalties; Evidence; Acronyms; Select Bibliography; Key Statutory Provisions and Index.

Market Abuse and Insider Dealing

Market Abuse and Insider Dealing PDF

Author: Barry Alexander K. Rider

Publisher: Bloomsbury Professional

Published: 2009

Total Pages: 328

ISBN-13:

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Completely revised and restructured, the second edition of Market Abuse and Insider Trading defines the nature of insider trading in the UK, examining the crimes of market abuse and insider dealing as well as other fraud-related offenses, focusing on the responsibilities of those engaged in compliance, as well as those who fall within the scope of prohibitions. New chapters include the UK's Financial Services Authority investigations, anti-money laundering law and compliance, as well as new material covering disclosure and reporting of transactions and suspicions, and general Islamic finance aspects.

Market Manipulation and Insider Trading

Market Manipulation and Insider Trading PDF

Author: Ester Herlin-Karnell

Publisher: Bloomsbury Publishing

Published: 2019-09-19

Total Pages: 204

ISBN-13: 1509903097

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The European Union regime for fighting market manipulation and insider trading – commonly referred to as market abuse – was significantly reshuffled in the wake of the financial crisis of 2007/2008 and new legal instruments to fight market abuse were eventually adopted in 2014. In this monograph the authors identify the association between the financial crisis and market abuse, critically consider the legislative, policy and enforcement responses in the European Union, and contrast them with the approaches adopted by the United States of America and the United Kingdom respectively. The aftermath of the financial crisis, ongoing security concerns and increased legislation and policy responses to the fight against irregularities and market failures demonstrate that we need to understand, in context, the regulatory responses taken in this area. Specifically, the book investigates how the regulatory responses have changed over time since the start of the financial crisis. Market Manipulation and Insider Trading places the fight against market abuse in the broader framework of the fight against white collar crime and also considers some associated questions in order to better understand the contemporary market abuse regime.

What is Market Manipulation?

What is Market Manipulation? PDF

Author: Andri Fannar Bergþórsson

Publisher: BRILL

Published: 2018-08-13

Total Pages: 326

ISBN-13: 9004366652

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In What Is Market manipulation? Dr. Andri Fannar Bergþórsson offers unique insight to and an interpretation of the concept of market manipulation as described in the 2014 Market Abuse Regulation (MAR) from the European Union.

Insider Trading and Market Manipulation

Insider Trading and Market Manipulation PDF

Author: Janet Austin

Publisher: Edward Elgar Publishing

Published: 2017-12-29

Total Pages: 320

ISBN-13: 1786436426

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This book explores how the globalization of securities markets has affected market manipulation and insider trading. It delves into the responses of securities regulators, discussing new regulations designed to deter such misconduct, as well as they ways in which detection, investigation and prosecution techniques are adapting to tackle insider trading and market manipulation that crosses international boundaries.

The Government of Markets

The Government of Markets PDF

Author: Rasheed Saleuddin

Publisher: Springer

Published: 2018-12-21

Total Pages: 321

ISBN-13: 3319931849

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Absent evidence to the contrary, it is usually assumed that US financial markets developed in spite of government attempts to regulate, and therefore laissez faire is the best approach for developing critically important and enduring market institutions. This book makes heavy use of extensive archival sources that are no longer publicly available to describe in detail the discussions inside the CBOT and the often private and confidential negotiations between industry leaders and government officials. This work suggests that, contrary to the accepted story, what we now know of as modern futures markets were heavily co-constructed through a meaningful long-term collaboration between a progressive CBOT leadership and an extremely knowledgeable and pragmatic US federal government. The industry leaders had a difficult time evolving the modern institutions in the face of powerful reactionary internal forces. Yet in the end the CBOT, by co-opting and cooperating with federal officials, led the exchange and Chicago markets in general to a near century of global dominance. On the federal government side, knowledgeable technocrats and inspired politicians led an information and analysis explosion while interacting with industry, both formally and informally, to craft better markets for all.

Regulating Fraud Across Borders

Regulating Fraud Across Borders PDF

Author: Edgardo Rotman

Publisher: Bloomsbury Publishing

Published: 2021-02-25

Total Pages: 349

ISBN-13: 150994320X

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This book provides a uniquely comparative approach to the examination of financial crime regulation. At a time when financial crime routinely crosses international boundaries, this book provides a novel understanding of its spread and criminalisation. It traces the international convergence of financial crime regulation with a uniquely comparative approach that examines key institutional and state actors including the European Union, the International Organization of Securities Commissions, as well as the United States, the United Kingdom, Switzerland, France, Italy and Germany, all countries that harbour some of the most influential stock exchanges in the Western world. The book describes and documents the phenomenon of internationalisation of securities frauds – such as insider trading and market manipulation – and the laws criminalising those acts, most notably those responding to recent dramatic transformations in securities markets, high frequency trading, and benchmark manipulation. At the European level, it shows the progressive uniformisation of laws culminating in the 2014 European Union Market Abuse Regulation. The book argues that criminal prohibitions against internationalised market abuse must be understood as an economic and legal imperative to protect financial markets against activities that imperil its integrity, compromising the confidence of investors and thus affecting the economy as a whole. The book is supported by an extensive review of the most significant scholarship in each country.

Research Handbook on Securities Regulation in the United States

Research Handbook on Securities Regulation in the United States PDF

Author: Jerry W. Markham

Publisher: Edward Elgar Publishing

Published: 2014-07-31

Total Pages: 563

ISBN-13: 1782540075

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This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute

Movable Markets

Movable Markets PDF

Author: Helen Tangires

Publisher: JHU Press

Published: 2019-05-07

Total Pages: 309

ISBN-13: 1421427486

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The untold story of America's wholesale food business. In nineteenth-century America, municipal deregulation of the butcher trade and state-incorporated market companies gave rise to a flourishing wholesale trade. In Movable Markets, Helen Tangires describes the evolution of the American wholesale marketplace for fresh food, from its development as a bustling produce district in the heart of the city to its current indiscernible place in food industrial parks on the urban periphery. Tangires follows the middlemen, those intermediaries who became functional necessities as the railroads accelerated the process of delivering perishable food to the city. Tracing their rise and decline in the wake of a deregulated food economy, she asks: How did these people, who occupied such key roles as food distributors and suppliers to the retail trade, end up exiled to urban outskirts? Moving into the early twentieth century, she explains how progressive city planners and agricultural economists responded to anxieties about the high cost of living, traffic congestion, and disruptions in the food supply by questioning the centrality, aging infrastructure, and organizational structure of wholesale markets. Tangires combines economic and cultural history by analyzing popular literature, innovative scholarship, and USDA publications. Detailing the legal, physical, and organizational means behind the complex exodus of food wholesaling from the urban core, Tangires also reveals how the trade adjusted to life beyond the city limits as it created new channels of distribution, product lines, and markets. Readers interested in US history, city and regional planning history, food history, and public policy, as well as anyone curious about the disappearance of the central produce district as a major component of the city, will find Movable Markets a fascinating read.