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Law Enforcement and the History of Financial Market Manipulation

Law Enforcement and the History of Financial Market Manipulation
Author: Jerry Markham
Publisher: Routledge
Total Pages: 456
Release: 2015-01-28
Genre: Business & Economics
ISBN: 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
Author: Gregory J Durston
Publisher: Waterside Press
Total Pages: 152
Release: 2020-01-29
Genre: Law
ISBN: 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 Manipulation and Insider Trading

Market Manipulation and Insider Trading
Author: Ester Herlin-Karnell
Publisher: Bloomsbury Publishing
Total Pages: 204
Release: 2019-09-19
Genre: Law
ISBN: 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?
Author: Andri Fannar Bergþórsson
Publisher: BRILL
Total Pages: 326
Release: 2018-08-13
Genre: Business & Economics
ISBN: 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.

Corruption and Fraud in Financial Markets

Corruption and Fraud in Financial Markets
Author: Carol Alexander
Publisher: John Wiley & Sons
Total Pages: 624
Release: 2020-06-22
Genre: Business & Economics
ISBN: 1119421772
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Identifying malpractice and misconduct should be top priority for financial risk managers today Corruption and Fraud in Financial Markets identifies potential issues surrounding all types of fraud, misconduct, price/volume manipulation and other forms of malpractice. Chapters cover detection, prevention and regulation of corruption and fraud within different financial markets. Written by experts at the forefront of finance and risk management, this book details the many practices that bring potentially devastating consequences, including insider trading, bribery, false disclosure, frontrunning, options backdating, and improper execution or broker-agency relationships. Informed but corrupt traders manipulate prices in dark pools run by investment banks, using anonymous deals to move prices in their own favour, extracting value from ordinary investors time and time again. Strategies such as wash, ladder and spoofing trades are rife, even on regulated exchanges – and in unregulated cryptocurrency exchanges one can even see these manipulative quotes happening real-time in the limit order book. More generally, financial market misconduct and fraud affects about 15 percent of publicly listed companies each year and the resulting fines can devastate an organisation's budget and initiate a tailspin from which it may never recover. This book gives you a deeper understanding of all these issues to help prevent you and your company from falling victim to unethical practices. Learn about the different types of corruption and fraud and where they may be hiding in your organisation Identify improper relationships and conflicts of interest before they become a problem Understand the regulations surrounding market misconduct, and how they affect your firm Prevent budget-breaking fines and other potentially catastrophic consequences Since the LIBOR scandal, many major banks have been fined billions of dollars for manipulation of prices, exchange rates and interest rates. Headline cases aside, misconduct and fraud is uncomfortably prevalent in a large number of financial firms; it can exist in a wide variety of forms, with practices in multiple departments, making self-governance complex. Corruption and Fraud in Financial Markets is a comprehensive guide to identifying and stopping potential problems before they reach the level of finable misconduct.

The Government of Markets

The Government of Markets
Author: Rasheed Saleuddin
Publisher: Springer
Total Pages: 321
Release: 2018-12-21
Genre: Business & Economics
ISBN: 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.

Fake News and Financial Markets

Fake News and Financial Markets
Author: Bianca Petcu
Publisher:
Total Pages: 29
Release: 2018
Genre:
ISBN:
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There are a few things that the United States prides itself on: liberty, democracy, and a free market system. Since its inception, the financial market has defined the financial market has defined the United States' position as a global leader. Therefore, balancing issues involving both the First Amendment and the free market system can be complex. On April 10, 2017, the Securities Exchange Commission ("SEC") filed twenty-seven complaints for fraudulent promotion of stock against stock promotion firms and holding companies. The holding companies paid writers to generate hundreds of optimistic articles about public company clients while concealing from investors that these were paid promotions. Out of the twenty-seven complaints, one company, Lidingo Holdings LLC ("Lidingo Holdings"), has garnered the most publicity. Beginning in 2010, Lidingo Holdings allegedly disseminated fake or hyperbolic information about stock options to either inflate or denigrate buyers' interest. The SEC mandates that stock promoters disclose their relationship with holding companies. Failure to disclose leads stockholders to believe the source was an independent researcher. This is where the First Amendment intersects with the financial markets. This Comment will focus on how market manipulation and the First Amendment could affect how the U.S. District Court for the Southern District of New York will decide SEC v. Lidingo Holdings, LLC "fake news" case. Section II will provide a primer of the history and evolution of market manipulation schemes, describe the SEC and its regulatory powers, look at the historical strength of the First Amendment, and introduce cases that can be used as precedent going forward. Section III will analyze prior cases and apply those rulings to Lidingo Holdings, to argue that the SEC should use a similar justification that the Federal Trade Commission ("FTC") uses for disseminating harmful commercial speech. Finally, Section IV will recommend that the court find the speech in Lidingo Holdings constitutes commercial speech, and further, that the SEC should implement a whistleblower program to regulate fake news, as well as follow the FTC's enforcement actions when dealing with fake news in the commercial speech context.

Regulating Fraud Across Borders

Regulating Fraud Across Borders
Author: Edgardo Rotman
Publisher: Bloomsbury Publishing
Total Pages: 349
Release: 2021-02-25
Genre: Law
ISBN: 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
Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
Total Pages: 563
Release: 2014-07-31
Genre: Business & Economics
ISBN: 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
Author: Helen Tangires
Publisher: JHU Press
Total Pages: 309
Release: 2019-05-07
Genre: Technology & Engineering
ISBN: 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.