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When Ethics Law and Other Law Intersect: Insider Trading, Taxes, and Financial Conflicts of Interest

RICHARD W. PAINTER

in Getting the Government America Deserves: How Ethics Reform Can Make a Difference

Published in print:
2009
Published Online:
May 2009
ISBN:
9780195378719
eISBN:
9780199869619
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195378719.003.0007
Subject:
Law, Constitutional and Administrative Law

This chapter discusses an example of individual corruption—insider trading in securities markets on the basis of information misappropriated from the government. It also addresses the taxation of ... More


Insider Trading

STUART P GREEN

in Lying, Cheating, and Stealing: A Moral Theory of White-Collar Crime

Published in print:
2007
Published Online:
January 2010
ISBN:
9780199225804
eISBN:
9780191708411
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199225804.003.0019
Subject:
Law, Philosophy of Law, Employment Law

The law of insider trading demonstrates the doctrinal relevance of the concept of moral wrongfulness. The question of whether and how insider trading wrongs its victims bears directly on the scope of ... More


The Insider’s Edge

Donald C. Langevoort

in Selling Hope, Selling Risk: Corporations, Wall Street, and the Dilemmas of Investor Protection

Published in print:
2016
Published Online:
June 2016
ISBN:
9780190225667
eISBN:
9780190225698
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190225667.003.0004
Subject:
Economics and Finance, Financial Economics, Economic History

Insider trading is bad, even if it is not deceptive in any meaningful sense of that word. The lines the courts have drawn make little coherent sense, but do have the flexibility to enable a campaign ... More


Trading and Market Integrity

John Armour, Dan Awrey, Paul Davies, Luca Enriques, Jeffrey N. Gordon, Colin Mayer, and Jennifer Payne

in Principles of Financial Regulation

Published in print:
2016
Published Online:
October 2016
ISBN:
9780198786474
eISBN:
9780191828782
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198786474.003.0009
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

This chapter reviews the regulation of trading activity in financial markets, focusing on three particular forms of regulated conduct in the market, namely market manipulation, insider trading, and ... More


The SEC’s Impact on the Federalization of Corporate Governance—A Traditional Perspective

Marc I. Steinberg

in The Federalization of Corporate Governance

Published in print:
2018
Published Online:
March 2018
ISBN:
9780199934546
eISBN:
9780199361854
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780199934546.003.0003
Subject:
Law, Company and Commercial Law

This chapter examines, from a traditional perspective, several areas where the Securities and Exchange Commission (SEC) has impacted corporate governance in a meaningful way. By way of example, these ... More


The China Aviation Oil Episode: Law and Development in China and Singapore

Curtis J. Milhaupt and Katharina Pistor

in Law and Economics with Chinese Characteristics: Institutions for Promoting Development in the Twenty-First Century

Published in print:
2013
Published Online:
May 2013
ISBN:
9780199698547
eISBN:
9780191745522
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199698547.003.0013
Subject:
Economics and Finance, South and East Asia, Macro- and Monetary Economics

Crises reveal the vulnerabilities of governance regimes. Analysis of a crisis and strategies adopted in response can therefore highlight forces that shape these regimes. China Aviation Oil (CAO), a ... More


The Exploitation Principle: Preventing Wrongful Gain

Joel Feinberg

in The Moral Limits of the Criminal Law Volume 4: Harmless Wrongdoing

Published in print:
1990
Published Online:
November 2003
ISBN:
9780195064704
eISBN:
9780199833207
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195064704.003.0006
Subject:
Philosophy, Moral Philosophy

What role should the law play in preventing or punishing nongrievance or even free‐floating exploitation? According to the exploitative principle, which Feinberg regards as the last best hope for ... More


International Differences in Hedge Fund Regulation

Douglas Cumming, Na Dai, and Sofia A. Johan

in Hedge Fund Structure, Regulation, and Performance around the World

Published in print:
2013
Published Online:
May 2013
ISBN:
9780199862566
eISBN:
9780199332762
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199862566.003.0003
Subject:
Economics and Finance, Financial Economics

Chapter 3 outlines the primary ways in which hedge funds have been regulated around the world prior to the financial crisis. Hedge fund taxation and the recent regulatory changes in the U.S., ... More


Confidentiality

Anita L. Allen

in Unpopular Privacy: What Must We Hide?

Published in print:
2011
Published Online:
January 2012
ISBN:
9780195141375
eISBN:
9780199918126
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195141375.003.0005
Subject:
Philosophy, Feminist Philosophy, General

This chapter argues that employee and professional confidentiality rules coerce silence, generally for good purposes. Confidentiality is an arena of justified information privacy coercion. Keeping ... More


Studies on the Incidence of Expropriation

George A. Aragon

in Financial Ethics: A Positivist Analysis

Published in print:
2010
Published Online:
January 2011
ISBN:
9780195305968
eISBN:
9780199867844
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195305968.003.0005
Subject:
Economics and Finance, Financial Economics

This chapter discusses mainstream research as it relates to positive financial ethics. The first part discusses ethical risk in the context of the functioning of capital markets. Here the focus is on ... More


Integrity

Onnig H. Dombalagian

in Chasing the Tape: Information Law and Policy in Capital Markets

Published in print:
2015
Published Online:
September 2015
ISBN:
9780262028622
eISBN:
9780262324298
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028622.003.0010
Subject:
Economics and Finance, Financial Economics

This chapter considers the role of private litigation, public enforcement and public surveillance in policing the integrity of information flows. It first discusses longstanding threats to integrity ... More


Unresolved Business: Federal Corporate Governance Enhancements

Marc I. Steinberg

in The Federalization of Corporate Governance

Published in print:
2018
Published Online:
March 2018
ISBN:
9780199934546
eISBN:
9780199361854
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780199934546.003.0007
Subject:
Law, Company and Commercial Law

This chapter analyzes and recommends federal corporate governance enhancements that should be implemented. These enhancements, which should be adopted in a measured and directed manner, are necessary ... More


Related-Party Transactions

Luca Enriques, Gerard Hertig, Hideki Kanda, and Mariana Pargendler

in The Anatomy of Corporate Law: A Comparative and Functional Approach

Published in print:
2017
Published Online:
March 2017
ISBN:
9780198739630
eISBN:
9780191837982
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198739630.003.0006
Subject:
Law, Company and Commercial Law

This chapter centers on a technique that managers and controlling shareholders may use to divert value from the corporation: related-party transactions. These transactions range from traditional ... More


The Fall of the Honest Broker

Sarah Paterson

in Corporate Reorganization Law and Forces of Change

Published in print:
2020
Published Online:
December 2020
ISBN:
9780198860365
eISBN:
9780191892547
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198860365.003.0008
Subject:
Law, Company and Commercial Law

Thus far, this book has focused on concepts which have played a crucial role in formulating the debate between economically minded and progressively minded scholars about the policy and content of ... More


Corporate Law and Securities Markets

Luca Enriques, Gerard Hertig, Reinier Kraakman, and Edward Rock

in The Anatomy of Corporate Law: A Comparative and Functional Approach

Published in print:
2017
Published Online:
March 2017
ISBN:
9780198739630
eISBN:
9780191837982
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198739630.003.0009
Subject:
Law, Company and Commercial Law

This chapter focuses on the regulation of corporations as “issuers,” that is, as tools to raise finance from the public. All representative “core jurisdictions” have specific rules applying to the ... More


Operational Inefficiencies

G. Andrew Karolyi

in Cracking the Emerging Markets Enigma

Published in print:
2015
Published Online:
June 2015
ISBN:
9780199336623
eISBN:
9780190232047
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199336623.003.0005
Subject:
Economics and Finance, International, Development, Growth, and Environmental

Operationally efficient markets are those in which transactions are executed in a timely manner at minimal costs. If the costs are prohibitive, domestic and foreign investors will be deterred from ... More


Liabilities and Regulatory Actions

Raghvendra K. Singh and Shailendera K. Singh

in Law and Regulation of Public Offering of Corporate Securities

Published in print:
2016
Published Online:
October 2016
ISBN:
9780199466689
eISBN:
9780199087310
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199466689.003.0007
Subject:
Law, Company and Commercial Law

This chapter considers the different forms and bases of liabilities and regulatory actions in respect of public offering of corporate securities—civil liability, criminal liability, pecuniary ... More


Introduction

Aaron Levine

in Economic Morality and Jewish Law

Published in print:
2012
Published Online:
April 2015
ISBN:
9780199826865
eISBN:
9780190261368
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:osobl/9780199826865.003.0000
Subject:
Economics and Finance, History of Economic Thought

This introductory chapter sets out the purpose of the book, namely to study economic morality in relation to both individual morality and public issues such as the regulation of advertising, insider ... More


Current Hedge Fund Debates and Controversies

Dianna C. Preece

in Hedge Funds: Structure, Strategies, and Performance

Published in print:
2017
Published Online:
August 2017
ISBN:
9780190607371
eISBN:
9780190607401
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780190607371.003.0029
Subject:
Economics and Finance, Financial Economics

The hedge fund industry has grown to nearly $3 trillion over the last 20 years. High-net-worth individuals and institutional investors expect high returns and low correlation with traditional asset ... More


Selective Disclosure

William A. Birdthistle

in Empire of the Fund: The Way We Save Now

Published in print:
2016
Published Online:
August 2016
ISBN:
9780199398560
eISBN:
9780199398591
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199398560.003.0010
Subject:
Economics and Finance, Financial Economics

No survey of dubious financial behavior could be complete without a discussion of insider trading, and this chapter shows how mutual funds have their equivalent in selective disclosure. Selective ... More


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