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Book
Securities fraud, 1996-2001 : incentive pay, governance, and class action lawsuits
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ISBN: 1593325649 9781593325640 9781593323998 1593323999 Year: 2010 Publisher: El Paso : LFB Scholarly Pub.,

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Wang seeks to explain why one company committed securities fraud only during certain years and why some companies had a higher propensity to commit securities fraud. He finds evidence linking executive incentive compensation to securities fraud. Some corporate governance measures may also play a role in fraud control. Findings vary, however, depending on the stages of judicial proceedings at which securities fraud class action cases are examined. Researchers and practitioners from fields other than criminal justice, such as law and economics, management, and accounting, may find this work usef


Book
Anfechtungsrechte bei Wertpapiergeschäften zu nicht marktgerechten Preisen (Mistrades)
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ISBN: 1283402645 9786613402646 3110261448 9783110261448 9783110261530 Year: 2011 Publisher: Berlin ; Boston : De Gruyter,

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In den letzten Jahren sind vermehrt Fälle bekannt geworden, in denen Wertpapiergeschäfte zu nicht marktgerechten Preisen geschlossen wurden, sogenannte Mistrades. In das öffentliche Interesse gerückt sind spektakuläre Mistrades mit hohen Schadensvolumina und drastischen Kursbeeinflussungen wie der Einbruch im US-amerikanischen Wertpapiermarkt im Jahr 2010 oder an der Eurex im Jahr 2001. Mistrades mit weniger weitreichenden Folgen kommen, vor allem im außerbörslichen Direkthandel, nahezu täglich vor. In der Praxis wurden Mistrades bislang fast ausschließlich nach speziellen Mistrade-Regeln rückabgewickelt. Diese sind allerdings Bedenken hinsichtlich ihrer Wirksamkeit ausgesetzt und umfassen zudem nicht alle Ursachen von Mistrades. In der Monographie werden daher erstmals die Anfechtungsrechte, die den Beteiligten bei einem Mistrade zustehen, untersucht.


Book
Market Abuse Regulation in South Africa, the United States of America and the United Kingdom.
Author:
ISBN: 1622734009 Year: 2018 Publisher: Wilmington, DE : Vernon Press,

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Periodical
Securities litigation journal
Author:
ISSN: 19372132 Year: 2007 Publisher: Chicago, Ill. : American Bar Association, Section of Litigation, Securities Litigation Committee,

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Book
Backdating of stock options
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ISBN: 160741984X 1613242107 9781613242100 9781607419846 9781613242100 Year: 2010 Publisher: New York : Nova Science Publishers,


Periodical
Compliance reporter.
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Year: 1994 Publisher: New York : Institutional Investor,

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Periodical
Compliance week.
Year: 2004 Publisher: Newton, Mass. : Financial Media Holdings Group,

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Book
The logic of securities law
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ISBN: 1108145817 1108146538 110814666X 1108146783 1316665674 1316610993 1108146902 1108147380 1107158508 1108147267 9781108147385 9781316665671 9781107158504 9781316610992 9781316610992 Year: 2017 Publisher: Cambridge : Cambridge University Press,

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Abstract

This book opens with a simple introduction to financial markets, attempting to understand the action and the players of Wall Street by comparing them to the action and the players of main street. Firstly, it explores the definition of a security by its function, the departure from the buyer beware environment of corporate law and the entrance into the seller disclose environment of securities law. Secondly, it shows that the cost of disclosure rules is justified by their capacity to combat irrationalities, fads, and panics. The third section explains how the structure of class actions is designed to improve deterrence. Next it explores the economic harm from insider trading and how the law fights it. In sum, the book shows how all these parts of securities law serve the virtuous cycle from liquidity to accurate prices and more trading and how the great recession showed that our securities regulation reacted mostly adequately to the crisis.


Book
White collar crime in the mutual fund industry
Author:
ISBN: 1593325169 1593326033 9781593326036 9781593325169 9781593325169 Year: 2012 Publisher: El Paso : LFB Scholarly Pub.,

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Peterson examines conditions and structures that led to abuses in the mutual fund industry. He seeks to provide understanding of not only the scandal's causes and its effects on investors, but also the regulatory response and reformation process. He breaks the scandal down into three parts: its root causes, regulatory responses by various actors, and attempts at reform and regulation. Key themes (e.g., why attorney generals were more successful in prosecuting this scandal than the SEC) are then identified to aid in a holistic understanding of the market timing and late trading scandal. The fin

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