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Dissertations / Theses on the topic 'Insider trading in securities'

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Published: 4 June 2021
Last updated: 30 July 2024

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1

Williamu, Ghati. "Critical analysis of the insider trading framework of Tanzania." Thesis, University of the Western Cape, 2015. http://hdl.handle.net/11394/5173.

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Magister Legum - LLM<br>This study is on the insider trading framework of Tanzania. The researcher has made enquiries whether the Tanzania legal framework governing insider trading provides strong enough enforcement mechanisms, including remedies and measures against malpractices found on the securities market to attract investor confidence. Critical analysis is done of the Capital Markets and Securities Act, 79 of 1994 (RE 2002) in conjunction with an investigation into the Capital Markets and Securities Authority (CMSA) a body corporate charged with the duties among others, of protecting the
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2

Kahle, Kathleen M. "Insider trading and new security issues." Connect to resource, 1996. http://rave.ohiolink.edu/etdc/view.cgi?acc%5Fnum=osu1265127804.

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3

Lindenfield, Susannah. "Insider trading in the United States, Canada and the United Kingdom." Thesis, McGill University, 2000. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=31169.

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This thesis is a critical analysis of the law relating to insider trading in three common law countries. Chapter One, addresses the merits and demerits of the regulation of insider trading and presents a review of the academic literature relating to this field. In Chapters Two, Three and Four, the law of insider trading in the United States, Canada and the United Kingdom is analysed and discussed on a comparative basis. Each of these chapters is in two sections. The first section describes the regulatory system and institutions, and the second section discusses the regulation of insider tradin
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4

Huang, Hui Law Faculty of Law UNSW. "Insider trading law in China: regulations of insider trading in China and proposals for reform." Awarded by:University of New South Wales. School of Law, 2005. http://handle.unsw.edu.au/1959.4/24333.

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The purposes of this thesis are threefold: (1) to investigate the incidence of insider trading in China; (2) to critically examine the regulation of insider trading in China within the Chinese context; and (3) to set out reform proposals. At present, insider trading is a very serious issue in China as it presents a major obstacle to the development of China???s securities market. This thesis is therefore of both theoretical and practical significance. Based on both theoretical arguments and empirical findings, this thesis investigates the extent of insider trading in China, explains why inside
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5

Zhu, Jun. "Profitability and information content of insider trading in HK /." Hong Kong : University of Hong Kong, 2002. http://sunzi.lib.hku.hk/hkuto/record.jsp?B24520986.

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6

Li, Xiaozhen. "Abnormal profits following insider trading : an empirical study /." Thesis, Connect to this title online; UW restricted, 1999. http://hdl.handle.net/1773/7427.

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7

Pool, Estelle. "Insider trading : has legislation been successful?" Thesis, Stellenbosch : Stellenbosch University, 2008. http://hdl.handle.net/10019.1/6172.

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Thesis (MBA (Business Management))--Stellenbosch University, 2008.<br>ENGLISH ABSTRACT: This research report reviews South African and international legislation aimed at preventing insider trading and provides an overview of the successful criminal and civil proceedings taken against insiders. It highlights the possible preventative measures South African companies and legislature can take to reduce insider trading. The United States of America is one of the few countries that had successfully implemented legislation prohibiting insider trading prior to the 1990s. Most countries, including Sou
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8

Ye, Zhen. "Integrity of China's securities market : the regulation of insider dealing in China in a comparative context." Thesis, University of Cambridge, 2015. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.708571.

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9

Chitimira, Howard. "The regulation of insider trading in South Africa: a roadmap for effective, competitive and adequate regulatory statutory framework." Thesis, University of Fort Hare, 2008. http://hdl.handle.net/10353/230.

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Insider trading is one of the practices that (directly or indirectly) lead to a host of problems for example inaccurate stock market prices, high inflation, reduced public investor confidence, misrepresentation and non disclosure of material facts relating to securities and financial instruments. Again it reduces efficiency in the affected companies and eventually leads to economic underperformance. The researcher observed that the South African insider trading regulatory framework has some gaps and flaws which need to be adequately addressed to ensure efficient and stable financial markets. T
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10

Zhu, Jun, and 朱君. "Profitability and information content of insider trading in HK." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 2002. http://hub.hku.hk/bib/B31227090.

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11

Vo, Minh Tue 1965. "Insider trading, asymmetric information, and market liquidity : three essays on market microstructure." Thesis, McGill University, 2002. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=38528.

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This thesis comprises three essays on market microstructure, focusing on the issues of insider trading, asymmetric information and market liquidity. The first essay examines the effects of the mandatory disclosure regulations on the trading behavior of informed traders. Specifically, we compare the (perfect Bayesian) equilibrium when disclosure is mandatory to the equilibrium when insiders do not have to disclose their trades. We show that under mandatory disclosure the market becomes more efficient and more liquid, making the uninformed traders unambiguously better off. We also show that in o
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12

Cho, In-ho. "An evaluation of insider trading regulation in the Republic of Korea : what are the policy considerations and what is necessary for Korea to strengthen insider trading regulation? /." Thesis, Connect to this title online; UW restricted, 2004. http://hdl.handle.net/1773/9616.

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13

Hafer, Shane. "The relationship between CDS spreads and equities market volume and volatility with respect to credit events for single-name CDS within CDX.NA.IG index /." Diss., Connect to the thesis, 2008. http://hdl.handle.net/10066/1447.

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14

Packies, Hilton. "The market abuse control legislative regime of South Africa, Nigeria and the United Kingdom - an approach to regulation and monitoring in relation to certain aspects of the financial markets of South Africa." Thesis, University of the Western Cape, 2015. http://hdl.handle.net/11394/5174.

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Magister Legum - LLM<br>The regulation of market abuse is currently an ever evolving subject, to such an extent that it has been placed as a high priority for regulators worldwide.¹ The Financial Markets Act 19 of 2012 (FMA) of South Africa² prohibits improper practices and is aimed at ensuring that market participants operate in a market that is free, safe and fair. In light of the above and as per example, all members of the stock exchange ensure that they accordingly adhere to the aims of the FMA by exercising functions such as due diligence and having a shared goal in embedding the v
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15

Wong, Brad. "The interaction between informed and uninformed agents in securities markets." Thesis, The University of Sydney, 2010. http://hdl.handle.net/2123/7250.

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This dissertation contains three essays that examine the interaction between informed and uninformed parties in securities markets. Given the influential role that informed traders have in shaping securities prices, trading activity, market-wide and even economy wide outcomes, this research provides empirical evidence on significant and important issues. Each essay addresses a topical, yet under-developed research strand to ensure that the results of this dissertation are relevant to both academic and nonacademic parties. The conclusions drawn from the three essays have the potential to influe
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16

Allen, William D. "Essays on closed-end funds internal versus external management and insider trading /." Diss., Columbia, Mo. : University of Missouri-Columbia, 2006. http://hdl.handle.net/10355/4400.

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Thesis (Ph. D.)--University of Missouri-Columbia, 2006.<br>The entire dissertation/thesis text is included in the research.pdf file; the official abstract appears in the short.pdf file (which also appears in the research.pdf); a non-technical general description, or public abstract, appears in the public.pdf file. Title from title screen of research.pdf file (viewed July 31, 2007). Includes bibliographical references.
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17

Serrano, Jan Maroney. "Seasoned debt and equity issues for investment and the information content of insider trades." Diss., Virginia Tech, 1993. http://hdl.handle.net/10919/40474.

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18

Nietsch, Michael. "Internationales Insiderrecht : eine Untersuchung über die Anwendung des Insiderrechts auf Sachverhalte mit Auslandsberührung /." Diss., Berlin : Duncker & Humblot, 2004. http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&doc_number=010663140&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA.

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19

Morris, Marc Everette. "Did The Private Securities Reform Act Work As Congress Intended?" OpenSIUC, 2009. https://opensiuc.lib.siu.edu/dissertations/19.

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In 1995 Congress passed the Private Securities Litigation Reform Act to address several perceived abuses in securities fraud class actions. In the aftermath of Enron, WorldCom, and other high profile securities litigation, critics suggest that the law made it easier for firms to escape securities fraud liability and thus created a climate conducive to fraud. Proponents maintain that the PSLRA has deterred the filing of nonmeritorious cases. This article explores whether the PSLRA achieved Congress's twin goals of "curb[ing] frivolous, lawyer-driven litigation, while preserving investors' ab
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20

Dussold, Christopher Kevin. "The nature of IPO lockups : the effects of equity sales by insiders /." free to MU campus, to others for purchase, 2001. http://wwwlib.umi.com/cr/mo/fullcit?p3025616.

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21

Chitimira, Howard. "A comparative analysis of the enforcement of market abuse provisions." Thesis, Nelson Mandela Metropolitan University, 2012. http://hdl.handle.net/10948/d1015008.

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Market abuse practices may directly or indirectly give rise to diverse problems such as inaccurate stock market prices, low public investor confidence, reduced market integrity and poor efficiency in the affected financial markets. This thesis reveals that three major forms of market abuse, namely insider trading, prohibited trading practices (trade-based market manipulation) and the making or publication of false, misleading or deceptive statements, promises and forecasts relating to listed securities (disclosure-based market manipulation) are prohibited in South Africa. However, although Sou
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22

Bartholow, Janet Lee Hahn. "An Empirical Study of Insider Behaviors: Affiliated Insiders, and Legislative and Enforcement Efforts." Kent State University / OhioLINK, 2017. http://rave.ohiolink.edu/etdc/view?acc_num=kent1511537806198499.

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23

Arlt, Michael. "Der strafrechtliche Anlegerschutz vor Kursmanipulation /." Frankfurt am Main [u.a.] : Lang, 2004. http://www.gbv.de/dms/spk/sbb/recht/toc/390314269.pdf.

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24

Engert, Carl-Johan. "Insider Trading : A study of insider trading when companies report loss announcements." Thesis, Jönköping University, JIBS, Economics, 2005. http://urn.kb.se/resolve?urn=urn:nbn:se:hj:diva-265.

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<p>Föreliggande uppsats undersöker om det har funnits någon indikation av insiderhandel för tio utvalda företag på Stockholmsbörsen under andra halvan av 2004 när dessa företag presenterar vinstvarningar. Uppsatsen beskriver huvuddragen av den Svenska insider-lagstiftning, och framlägger argument för en effektiv lagstiftning både från ett ekonomiskt och också från ett juridiskt perspektiv.</p><p>De tio företagen har analyserats under en trettio dagars period. Slutsatsen är att det har förekommit indikationer på insiderhandel i två företag under perioden fram till vinstvarningen.</p><p>Denna up
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25

Söderberg, Gustav, and Rikard Nyström. "Insider Trading - An Efficiency Contributor?" Thesis, Umeå universitet, Företagsekonomi, 2013. http://urn.kb.se/resolve?urn=urn:nbn:se:umu:diva-73596.

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This research has studied the relationship between insider trading activity and its effect on the level of informational efficiency. The authors have used insider data from Finansinspektionen and data regarding stock prices, market capitalization and GDP from Thomson Reuters Datastream. The sample includes 193 companies on the Swedish stock exchange for a period of 10 years. A Variance Ratio test employed on moving sub-sample windows was used to establish the level of time-varying informational efficiency, which subsequently was used in an OLS-regression as a dependent variable. The result of
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26

Rozanov, Konstantin A. "Corporate governance and insider trading." Thesis, Massachusetts Institute of Technology, 2008. http://hdl.handle.net/1721.1/45333.

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Thesis (Ph. D.)--Massachusetts Institute of Technology, Sloan School of Management, 2008.<br>Includes bibliographical references (p. 58-64).<br>I investigate the relation between corporate governance and insider trading by corporate executives. Despite the general view that trade on non-public information adversely affects capital market participants, the impact of corporate governance on such trading remains relatively unexplored in prior research. I propose an empirical measure that relies on a predicted pattern in stock returns to identify transactions that are more likely to be based on pr
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27

Astorino, Eduardo Sanchez. "Insider trading networks in Brazil." Universidade de São Paulo, 2017. http://www.teses.usp.br/teses/disponiveis/12/12138/tde-01092017-174408/.

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The presence of insider trading in a financial market is detrimental to its functioning. Traders with public information are always at a disadvantage when negotiating with agents in possession of inside information. Thus insider trading should increase risk and should lower participation in financial markets. In this study we investigate a channel through which inside information may be transferred to market participants: social connections based on common education. We hand-collect a novel data set of the educational background of members of the board of directors of Brazilian firms and portf
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28

Chui, Chi Kin. "The mathematics of insider trading." Master's thesis, University of Cape Town, 2008. http://hdl.handle.net/11427/4873.

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Includes abstract.<br>Includes bibliographical references (leaves 109-112).<br>Over the past decade the research into the topic of incorporating non-market information has accelerated. This dissertation aims to serve as a monograph of the contemporary body of research to the insider problem, under a Brownian setting in a complete market.
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29

Lindén, Patrik, and Martin Lejdelin. "Insider trading on the Stockholm Stock Exchange : Non reported insider trading prior to profit warnings." Thesis, Jönköping University, JIBS, Business Administration, 2007. http://urn.kb.se/resolve?urn=urn:nbn:se:hj:diva-1001.

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<p>Background:</p><p>Studying insider trading is difficult due to its sensitive and delicate nature. Therefore it is hard to gauge the extent of such activities. This problem has resulted in a fierce debate whether it should be prohibited or not. Using a method where the effect on monopolistic information usage can be isolated insider trading can be monitored. Such an event is a profit warning.</p><p>Purpose:</p><p>This paper examines whether insider trading exist for companies</p><p>making a profit warning between year 2003 and 2007 on the Stockholm</p><p>Stock Exchange. Furthermore the aim w
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30

Müssnich, Francisco Antunes Maciel. "O insider trading no direito brasileiro." reponame:Repositório Institucional do FGV, 2015. http://hdl.handle.net/10438/15292.

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Submitted by Marcella Vaz (mcz@bmalaw.com.br) on 2016-01-21T14:04:58Z No. of bitstreams: 1 Dissertação Francisco Müssnich (clean).pdf: 1403440 bytes, checksum: 490bbad9a8ecdd796462048f14a079e7 (MD5)<br>Approved for entry into archive by BRUNA BARROS (bruna.barros@fgv.br) on 2016-02-16T17:19:02Z (GMT) No. of bitstreams: 1 Dissertação Francisco Müssnich (clean).pdf: 1403440 bytes, checksum: 490bbad9a8ecdd796462048f14a079e7 (MD5)<br>Approved for entry into archive by Maria Almeida (maria.socorro@fgv.br) on 2016-02-16T18:18:08Z (GMT) No. of bitstreams: 1 Dissertação Francisco Müssnich (clean).
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"Insider trading and stock volatility." 2004. http://library.cuhk.edu.hk/record=b5892058.

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Tam,Tsz-Wa.<br>Thesis (M.Phil.)--Chinese University of Hong Kong, 2004.<br>Includes bibliographical references (leaves 105-109).<br>Abstracts in English and Chinese.<br>Abstract --- p.i<br>Acknowledgement --- p.iv<br>Table of Contents --- p.v<br>Chapter Chapter 1 --- Introduction --- p.1<br>Chapter 1.1 --- Insider Trading and Corporate Governance --- p.1<br>Chapter 1.2 --- Insider Trading and Stock Volatility --- p.3<br>Chapter 1.3 --- Objective of the Thesis Research --- p.4<br>Chapter Chapter 2 --- Literature Review --- p.6<br>Chapter 2.1 --- Review of Theoretical Literature --- p.6
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32

"Insider dealing activities in Hong Kong." Chinese University of Hong Kong, 1995. http://library.cuhk.edu.hk/record=b5888315.

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by Leung Wai Yuen and Wong Che Keung.<br>Thesis (M.B.A.)--Chinese University of Hong Kong, 1995.<br>Includes bibliographical references (leaves 79-81).<br>ABSTRACT --- p.iv<br>ACKNOWLEDGMENT --- p.v<br>TABLE OF CONTENTS --- p.vi<br>LIST OF TABLES --- p.x<br>LIST OF FIGURES --- p.xi<br>Chapter<br>Chapter I. --- INTRODUCTION --- p.1<br>Background --- p.1<br>Objective of This Study --- p.5<br>Chapter II --- THE DEVELOPMENT OF THE STOCK MARKET IN HONG KONG --- p.6<br>Development of the Stock Exchange --- p.6<br>Performance of the Stock Market --- p.10<br>Chapter III --- CURRENT SITUATIO
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33

Speedie, Miles Stuart. "The new insider trading provisions." Diss., 1994. http://hdl.handle.net/10500/16093.

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It is unfair to the investing public and detrimental to the interests of the security markets for a person to trade on the basis of inside information. In this short dissertation, the laws regulating insider trading in South Africa prior to the current legislative provisions are briefly discussed. It is found that the old provisions were inadequate in deterring and punishing insider trading activities. The current legislative provisions are analysed in detail. It becomes clear that whilst the current provisions are a substantial improvement on their predecessor, certain aspects need t
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Johannesson, Erik. "Former Insiders' Trading." Thesis, 2018. https://doi.org/10.7916/D89G740Z.

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Using detailed and unique data from Sweden, I show that former insiders trade profitably in the shares of companies with which they used to be affiliated. A trading strategy mimicking former insiders’ trading behavior yields abnormal returns of 7.6% per year. These returns are primarily driven by post-separation purchases rather than by sales. They do not reflect general stock-picking skills: former insiders earn significantly lower abnormal returns when trading in companies with which they have no affiliation. I show that former insiders’ informational advantage diminishes over time, but less
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35

Yuan, Daniel, and 袁義昕. "Insider Trading in Securities Market - A Information Property Perspective." Thesis, 2002. http://ndltd.ncl.edu.tw/handle/73766659954123093155.

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36

Baty, Michael. "Insider trading as a signal used in investment decisions on the AltX : the influence of insider ownership and control." Diss., 2009. http://hdl.handle.net/2263/24090.

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Much work has been conducted on the signalling effect that a directors’ trade has on outsiders. This is based on the premise that insiders, or directors, shareholders and managers of companies have access to information about their companies that outsiders do not (Bhana, 2007; Fidrmuc, Goergen and Renneboog, 2006; Hodgson and van Praag, 2006), raising questions about the efficiency of markets (Fidrmuc, Goergen and Renneboog, 2004). Other research concludes that the greater the shareholding percentage or percentage control held by an insider, the greater would be their access to company informa
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Lo, Hsiao-Wen, and 羅筱文. "Should Debt Securities Be Covered by the Insider Trading Regulations?" Thesis, 2009. http://ndltd.ncl.edu.tw/handle/36667173413250823389.

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碩士<br>中原大學<br>財經法律研究所<br>97<br>Abstract Article 157-1 is the most important law for governing insider trading in Taiwan. While Article 157-1 covers only equity securities, Article 6 defines securities to include both equity and non-equity securities. Does the discrepancy between these two Articles create a loophole? The legislators in Taiwan seem to think so, as a new bill that adds non-equity securities to the insider trading regulations has passed the First Reading. I disagree with that opinion, and this paper discusses the rationales for the disagreement. The regulations of insider tradi
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LIN, HSIN TI, and 林欣笛. "The Decriminalization of Insider Trading in Securities Market of Taiwan." Thesis, 2011. http://ndltd.ncl.edu.tw/handle/51504253863891297863.

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碩士<br>國立中央大學<br>產業經濟研究所<br>99<br>According to Taiwan’s Securities and Exchange Act, the sentence of insider trading is three to ten years in prison if the illegal profit was less than one hundred million NT dollars. And at least seven years sentence if the illegal profit was more than one hundred million NT dollars. The sentence of insider trading in Taiwan is so severe that it should be reexamined its rationality and justification. To criminalize insider trading, the legislators concluded several reasons as follow: 1. Refer to foreign legislation. 2. Maintain the fair trading of securities ma
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"Stock price synchronicity and insider trading: the evidence from China." 2011. http://library.cuhk.edu.hk/record=b5894861.

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Zhang, Yujie.<br>"August 2011."<br>Thesis (M.Phil.)--Chinese University of Hong Kong, 2011.<br>Includes bibliographical references (leaves 53-56).<br>Abstracts in English and Chinese.<br>Abstract --- p.ii<br>摘要 --- p.iii<br>Acknowledgement --- p.iv<br>Chapter 1. --- Introduction --- p.1<br>Chapter 2. --- Institutional background and research hypotheses --- p.8<br>Chapter 2.1 --- Rules and regulations in China --- p.8<br>Chapter 2.2 --- Ownership structure and corporate governance in China --- p.11<br>Chapter 2.3 --- Research hypothesis --- p.13<br>Chapter 3. --- Construction of variabl
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Sidgman, Jurgen. "Analysis of Form 4 SEC electronic delivery system and information content of footnote disclosures /." 2009. http://proquest.umi.com/pqdweb?did=1757299021&sid=4&Fmt=2&clientId=14215&RQT=309&VName=PQD.

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Thesis (Ph.D.)--University of Nebraska-Lincoln, 2009.<br>Title from title screen (site viewed October 15, 2009). PDF text: viii, 117 p. : ill. ; 1.43 Mb. UMI publication number: AAT 3355631. Includes bibliographical references. Also available in microfilm and microfiche formats.
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"Insider trading and market reaction: the change in disclosure regulations." 2006. http://library.cuhk.edu.hk/record=b5892921.

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Wan Yanyan.<br>Thesis (M.Phil.)--Chinese University of Hong Kong, 2006.<br>Includes bibliographical references (leaves 53-56).<br>Abstracts in English and Chinese.<br>Chapter I. --- Introduction --- p.1<br>Chapter II --- Disclosure of Interests (DI) Regimes in Hong Kong --- p.5<br>Chapter II.1. --- Development of Disclosure of Interests (DI) Regulations --- p.5<br>Chapter II.2. --- Differences in Two Disclosure of Interests (DI) Regimes --- p.8<br>Chapter III. --- Literature Review and Hypotheses --- p.11<br>Chapter IV. --- Data and Methodology --- p.15<br>Chapter IV.1. --- Data --- p.1
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"Insider trading in the Hong Kong stock market: facts and analyses." 2001. http://library.cuhk.edu.hk/record=b5890690.

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Cheuk Man Yin.<br>Thesis (M.Phil.)--Chinese University of Hong Kong, 2001.<br>Includes bibliographical references (leaves 87-94).<br>Abstracts in English and Chinese.<br>ABSTRACT --- p.i<br>ACKNOWLEDGEMENT --- p.iv<br>TABLE OF CONTENTS --- p.v<br>LIST OF TABLES --- p.viii<br>Chapter<br>Chapter I. --- INTRODUCTION --- p.1<br>Chapter 1.1 --- Introduction --- p.1<br>Chapter 1.2 --- Objectives --- p.5<br>Chapter II. --- LITERATURE REVIEW --- p.7<br>Chapter 2.1 --- Backgrounds --- p.7<br>Chapter 2.1.1 --- Information Content and Predictability of Insider Trading --- p.7<br>Chapter 2.1.2 -
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SHIN, LAI SHIN, and 賴欣欣. "The Insider Trading of Securities Exchange Law---Critical viewpoints of Criminal Law." Thesis, 2002. http://ndltd.ncl.edu.tw/handle/01917413637505398564.

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44

Yi-Chun, Lu, and 盧怡君. "The Research about The Regulated Subjects of Insider Trading in Securities Exchange Act and Futures Trading Act." Thesis, 2011. http://ndltd.ncl.edu.tw/handle/18271531285885899114.

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碩士<br>玄奘大學<br>法律學系碩士班<br>99<br>Because of the Securities Exchange Act and Futures Trading Act of differences in law-making background, resulting in R.O.C. must be strictly distinguished by the Securities and Futures jurisdiction and application. It only regulates participants in the securities market by Securities Exchange Act, and then Futures Trading Act also regulates participants in the futures market. The results of such a specification may be because of the law-making background; however, in view of financial products are derivative and innovates constantly on the market and futures mark
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Matos, Cátia Isabel Correia Rosa Miguel de. "Insider trading: o abuso de informação privilegiada." Master's thesis, 2017. http://hdl.handle.net/10071/17573.

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The financial market should be guided by its efficiency, integrity, transparency and equal access to information. All these values are called upon question by situations of market abuse, such as the crime of insider trading. The illicit of insider trading occurs when a person possesses inside information and uses that information by acquiring or disposing of, for its own account or for the account of a third party, directly or indirectly, financial instruments to which that information relate, obtaining for himself an undue benefit from the inside information to the disadvantage of thir
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Lu, Kuo-Pin, and 呂國平. "The Research of Insider Trading in Securities Regulation in The View of Economic Analysis." Thesis, 2007. http://ndltd.ncl.edu.tw/handle/a6mudz.

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碩士<br>銘傳大學<br>法律學系碩士班<br>95<br>The stock market is the window of the economic developments.It’s the place for companies to raise capital easily. The investors will get enormous profit losses when a corporate insider purchases or sells securities on the basis of material, non-public information .Insider trading is harmful for trading order and destroy the confidence of investors and thus lessens both liquidity and investment in the stock market. For instance, the Enron and Worldcom debacles led to significant new developments in the area of enforcement and disclosure. First, pursuant to the Sar
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47

Liu, Cheng-Yong, and 劉成墉. "The Knowing Possession versus Use Debate on Insider Trading Prohibition under Securities Exchange Law." Thesis, 2009. http://ndltd.ncl.edu.tw/handle/02416645405570568097.

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碩士<br>銘傳大學<br>法律學系碩士班<br>97<br>This thesis is to explore the "Knowing Possession" versus "Use" debate on insider trading prohibition under Securities Exchange Law, focusing on: does the plaintiff need to demonstrate the causal connection between the material nonpublic information and the defendants'' trading? Commentators supporting "Knowing Possession" standard claim that the plaintiff need not prove that the defendants purchased or sold securities because of the material nonpublic information that they knowingly possessed. It is sufficient if the plaintiff proves that the defendants purchase
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48

Lin, Chiou-Ping, and 林秋萍. "The Development of materiality in Insider Trading Cases under Securities Exchange Act of 1934." Thesis, 2012. http://ndltd.ncl.edu.tw/handle/29055256868696490615.

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碩士<br>銘傳大學<br>法律學系碩士班<br>100<br>Recently, insider trading cases have attracted public. As the amount of money in issue from the litigation always comes to the insanity price, these cases bring in people’s astonishment, As a result, insider trading phenomenon turns into a popular and public issue. In our country, Security Exchange Law follows the United States’. The goal of its regulations is to effectively protect the order in securities market, to promote the economic efficiency and to avoid securities investors losing confidence in participating capital market. Nevertheless, the key element
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49

"Market supervision by Hong Kong regulators on disclosure of interests and insider dealing." 1999. http://library.cuhk.edu.hk/record=b5889471.

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by Hui Lok Yee Connie.<br>Thesis (M.B.A.)--Chinese University of Hong Kong, 1999.<br>Includes bibliographical references (leaves 92-95).<br>ABSTRACT --- p.iv<br>ACKNOWLEDGEMENT --- p.v<br>TABLE OF CONTENTS --- p.vi<br>Chapter<br>Chapter I. --- INTRODUCTION --- p.1<br>Objectives of Securities Regulations --- p.3<br>Regulatory Framework of the Hong Kong Securities Market --- p.5<br>Objectives of This Study --- p.6<br>Methodology --- p.7<br>Chapter II. --- DISCLOSURE OF INTERESTS --- p.8<br>Development of Securities (Disclosure of Interests) Ordinance in HK --- p.8<br>Disclosure of Inte
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50

Lee, Su-Ming, and 李樹敏. "A stufocus on Act 157 of Taiwanese dy on the concept of「Insider」in insider trading regulation-with Securities act." Thesis, 2015. http://ndltd.ncl.edu.tw/handle/n3cw3a.

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碩士<br>國立臺灣海洋大學<br>海洋法律研究所<br>103<br>Securities trading method 157th article of 1 1th items 5th paragraph provides, from company directors, and monitored people, and managers, and holdings over 10% 10% shareholders and the based on career or control relationship was informed that news of people, that for "news subject people" (Tippee), actual knows issued stock company has major effects the company stock price of news Shi, in the news clear Hou, not public Qian or public Hou 18 hours within, Shall not on the company of listed or in securities commercial business premises sale of stock or other
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