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Insider Trading Law and Compliance Answer Book (2020 Edition)

Author(s): Schulte Roth & Zabel LLP
Practice Area: Antitrust, Corporate law, Securities and other financial products
Date: Nov 2019 i Other versions can be found in the Related Items tab.
ISBN: 9781402433788
PLI Item #: 268112

Because the insider trading laws apply to everyone—not just corporate insiders—a proper understanding of both the basics of insider trading law, as well as some of the complexities and nuances of this important area of the law, is important to anyone who invests in the securities markets. Insider Trading Law and Compliance Answer Book provides you with a step-by-step understanding of the legal requirements imposed upon all investors. It walks you through:

  • The elements of an insider trading claim
  • What is legitimate company research that can be freely acted upon and
  • what is material, nonpublic information obtained in breach of a duty of trust or confidence that may not be acted upon or shared with others
  • When acting on a “tip” or "tipping" others can incur legal liability
  • The framework of penalties when insider trading has been successfully proved

Insider Trading Law and Compliance Answer Book provides both the lawyer and the lay investor with a complete understanding of the civil and criminal issues that can arise, the possible penalties that could be incurred and the defenses available as well as practical advice to ensure compliance with the law of insider trading. The treatise also covers many specialized areas so that the reader can see how the law of insider trading has been applied to corporate insiders, market professionals, paid consultants and government employees as well as in the bankruptcy context.  It reflects the in-depth knowledge of legal practitioners who provide ongoing counseling and litigation representation to a wide array of clients.

In today’s turbulent financial markets, a claim of insider trading often hits the newspapers. Insider Trading Law and Compliance Answer Book fully integrates recent regulatory changes and provides a concise roadmap, helping the reader to navigate the legal requirements safely.