Running Head: AN INTRODUCTION TO FINANCIAL MARKETS | | | | | | |Susana Silvestri | | |Grand Canyon University
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What can we learn from insider trade? Evidence from Thailand Nareemet Kittikhuntanasan Student ID: 5882942826 Project Advisor Kanis Saengchote, Ph.D. Committee Tanakorn Likitapiwat, Ph.D. Special Project Submitted in Partial Fulfillment of The Requirements for The Degree of Master Of Science in Finance Faculty of Commerce and Accountancy Chulalongkorn University Academic Year 2015 1. Introduction In general, the insiders are classified as the persons who have more information
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Common law 4. Contract 1. The buying or selling of stocks by business insiders on the basis of information that has not yet been made public is 1. Insider trading 2. Business broking 3. Hedging bets 4. Whistle blowing 1. The SEC is the 1. Securities and Exchange Commission 2. Securities and Exchange Counsel 3. Social Excellence Committee 4. Social Expense Commission 1. Which theory of insider trading did the U.S. Supreme Court endorse in 1997? 1. The misappropriation theory
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Memorandum To: Reader From: Date: July 11, 2014 Re: Violation of SEC Rule 10-b-5 of the Federal statue Summary Aquaman is president of a marine research company called "Underwater Leagues, Inc." On April 1, the research director of Underwater Leagues tells Aquaman that they've come up with "Oxygum," a means of breathing underwater by chewing a special kind of gum. Aquaman knows a great product when he hears it. He delays announcing the invention to the public so that he can buy all
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White-Collar Crime SOCI 225 Instructor: John Casey Student: Date: April 14, 2012 Table of Contents Introduction 3 What is White-collar Crime? 3 Workplace Safety 4 Fraud 6 Sentencing 9 Conclusion 10 Endnotes 11 Introduction Crime is such a general word, and describes a whole conundrum of activities that are seen as unlawful. The oxford dictionary defines crime as “an action of omission which constitutes an offence and is punishable by law”. There are many different types
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Insider Trading – Breach of Corporate Fiduciary During Mergers and Acquisition Scenario - A Leadership and Corporate Accountability Study EPGPKC/02/047 EPGPKC/02/063 EPGPKC/02/064 EPGPKC/02/068 EPGPKC/02/070 EPGPKC/02/076 Bijith P. B. Madhu Chandran Mahashook Ebrahim Nikhil Hari Kesavan Paul Cherusseril Mohan Rakesh Krishnan Sudheer Insider: Corporate insider has privy to information of the company (sales and profit figures, future growth indicators, management strategies
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| INSIDER TRADING | A CRITICAL APPROACH | | Juan Guillermo Gonzalez | 12/20/2014 | This academic document in intended to make an analytical approach of insider trading in the U.S. It will also discuss the European case and how it compares to the U.S. Finally, it will describe international implications of insider trading and the cooperation among nations. | TABLE OF CONTENT Page Introduction …………………………………………………………………………………………………………….. 4 Insider Trading – Opposing
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information Albert and Mary had an inside track in the market. * Barry putting Albert or Mary’s trade before the client order, this is called spinning and is considered unethical. And you have Barry demanding insider information on several companies. * Mary used insider information from her father who worked for a major health care company to initiate a hostile takeover for benefits towards her portfolio and her selected friends and colleges. * Buy stock for boss and boss’s friends
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Executive Summary The legislation of insider dealing in Hong Kong is aimed at prohibiting the misuse of particular information about a listed company’s affairs by persons connected with that company, who are in possession of that information, using it or encouraging others to use it for the purpose of trading in the company’s stock to make a profit or avoid a loss. The law of insider dealing is comprehensive in proving contravention of ordinance by covering five essential elements, including
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making it look as if Stewart had previously told him to sell when the shares fell. Maximum penalty: 5 years in prison, $250,000 fine. Count 6: Perjury, filed against Bacanovic. He lied several times to the Security Exchange Commission agents about trading of ImClone and talks between him and Stewart. Maximum penalty: 5 years in prison, $250,000 fine. Count 7: Obstruction of Justice, filed against Baconovic. He deliberately tried to elude the SEC investigation. Maximum penalty: 5 years in prison
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