• Login
    JavaScript is disabled for your browser. Some features of this site may not work without it.
    The regulation of insider trading in corporate securities 
    •   QMRO Home
    • Queen Mary University of London Theses
    • Theses
    • The regulation of insider trading in corporate securities
    •   QMRO Home
    • Queen Mary University of London Theses
    • Theses
    • The regulation of insider trading in corporate securities
    ‌
    ‌

    Browse

    All of QMROCommunities & CollectionsBy Issue DateAuthorsTitlesSubjectsThis CollectionBy Issue DateAuthorsTitlesSubjects
    ‌
    ‌

    Administrators only

    Login
    ‌
    ‌

    Statistics

    Most Popular ItemsStatistics by CountryMost Popular Authors

    The regulation of insider trading in corporate securities

    View/Open
    RIDERRegulationOf1977_vol1.pdf (36.65Mb)
    RIDERRegulationOf1977_vol2.pdf (22.69Mb)
    RIDERRegulationOf1977_vol3.pdf (28.43Mb)
    RIDERRegulationOf1977_vol4.pdf (29.55Mb)
    Metadata
    Show full item record
    Abstract
    Firstly it is necessary to examine insider trading in corporate securities in it's social and economic context. Before any discussion of substantive regulation can meaningfully take place it 1s necessary to consider such questions as the incidence of insider trading and whether in fact it causes harm. In, particular the question of 'fairness' is considered, and the economic arguments sometimes raised in support of insider trading explored. Corporate disclosure is directly related to insider trading. The ability of corporate insiders to abuse their positions is obviously related to the effectiveness of company disclosure. Furthermore apart from the effect corporate disclosure has on the availability of information for investors, disclosure of insiders transactions may discourage abusive trading and assist in the enforcement of regulatory provisions. Disclosure may also be used as a sanction. The impact of expanded corporate disclosure policies and in particular the disclosure of price sensativa information to employees is considered. One or the main problems with anti-insider trading regulation is the satisfactory determination of a definition for insiders. This determination will set the scope of regulation. In drawing up this definition attention must be given to the problem of 'tippee trading' and the effect that such provisions might have on the securities industry. An extensive study of the present law relevant to insider trading, in Britain, Australasia and Canada is provided with particular reference. to the role of self regulatory authorities. Recent proposals for anti-insider trading legislation in the United Kingdom are analysed. At the heart of any discussion of insider trading must be the question of enforcement Civil enforcement is discussed in the context of derivative actions and class suits. The present structure of regulation is analysed and a now enforcement agency is suggested. The crucial availability of effective market surveillance-is discussed in the context of the experience of other countries.
    Authors
    Rider, Barry Alexander Kenneth
    URI
    http://qmro.qmul.ac.uk/xmlui/handle/123456789/1743
    Collections
    • Theses [3600]
    Copyright statements
    The copyright of this thesis rests with the author and no quotation from it or information derived from it may be published without the prior written consent of the author
    Twitter iconFollow QMUL on Twitter
    Twitter iconFollow QM Research
    Online on twitter
    Facebook iconLike us on Facebook
    • Site Map
    • Privacy and cookies
    • Disclaimer
    • Accessibility
    • Contacts
    • Intranet
    • Current students

    Modern Slavery Statement

    Queen Mary University of London
    Mile End Road
    London E1 4NS
    Tel: +44 (0)20 7882 5555

    © Queen Mary University of London.