Corporate Liability for Insider Trading: 1st Edition (Hardback) book cover

Corporate Liability for Insider Trading

1st Edition

By Juliette Overland


192 pages

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Hardback: 9781138299023
pub: 2019-03-14
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pub: 2019-03-05
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Corporate Liability for Insider Trading examines the reasons why there have been no successful criminal prosecutions, or successful contested civil proceedings, against corporations for insider trading, and analyses the various rationales for prohibiting insider trading. It reviews the insider trading regulatory regime and describes its key features, using both national and international examples. The book inspects a variety of criminal and civil models of corporate liability and considers the historical and theoretical basis on which corporations are subject to insider trading laws. The specific elements of the insider trading offence and the manner in which they are attributed to corporations are analysed in detail. Defences available to corporations such as Chinese Walls are explored, and the obligations that are imposed on businesses as a result of insider trading regulation – security trading policies and notifications, continuous disclosure obligations, and duties concerning conflicts of interest – are detailed and examined. The book concludes with reform proposals intended to remedy the many legal and commercial difficulties identified, in order that a new regulatory regime might be adopted to better serve regulators, businesses, investors, and the broader market. This volume addresses these corporate law topics and will be of interest to researchers, academics, financial institution compliance officers, investment bankers, corporate and comparative lawyers, and students and scholars in the fields of commercial law, corporate law, financial crime, company law, and white collar crime

Table of Contents

1. Corporate Liability for Insider Trading: An Introduction

2. The Regulation of Insider Trading

3. The Application of Insider Trading Laws to Corporations

4. Corporate Criminal Liability

5. Attributing the Elements of Insider Trading to Corporations

6. Corporations and the Chinese Wall Defence to Insider Trading

7. Business Obligations Resulting from Insider Trading Laws

8. Reform Proposals

9. Conclusion

About the Author

Juliette Overland is an Associate Professor at the University of Sydney Business School, Australia.

About the Series

The Law of Financial Crime

While a growing number of high profile financial crime cases have hit the headlines recently the topic of financial crime is also generating much attention amongst academics and practitioners. This series will be the first to be dedicated to the law of financial, or economic, crime and offers a platform for important and original research in this area.  

Books in the series will cover traditional subjects of financial crime including money laundering, terrorist financing, fraud, market abuse, insider dealing, market manipulation, tax evasion, bribery and corruption. But broader legal and regulatory issues will also be covered as well as emerging areas of concern such as the risks to stability of the financial system posed by financial crime. Emphasis will be placed on comparative approaches to the subject considering legislation across a number of jurisdictions as well as international regulations where appropriate, giving the series a truly global outlook. 

The titles in the series are primarily aimed at an audience of researchers, scholars and practitioners in the area but should also be of interest to policy makers, law enforcement agencies, financial regulatory agencies, as well as people employed within the financial services sector.

Learn more…

Subject Categories

BISAC Subject Codes/Headings:
BUSINESS & ECONOMICS / Corporate Finance
LAW / General
LAW / Banking
LAW / Business & Financial
LAW / Corporate
LAW / Criminal Law / General
LAW / Liability
TRUE CRIME / White Collar Crime