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Vol 21 No 11 Nov/Dec 2016

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
Securities Law 2nd ed isbn 9780414028456

Securities Law


ISBN13: 9781847033291
New Edition ISBN: 9780414028456
Published: March 2008
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Hardcover
Price: Out of print



This new title provides a comprehensive analysis of the substantive law governing securities markets and the manner in which markets in securities are regulated in the UK. It considers both the EC law context, including the Financial Services Action Plan, and international trends in financial regulation. It focuses on the issue of securities on both a private basis and by means of an offer to the public. It provides comprehensive coverage of both shares and debt securities (such as bonds) and debentures.

  • Offers comprehensive coverage of equity and debt securities, primary and secondary securities, and the law and regulation surrounding them – the only book in the legal market to do so;
  • Analyses the fundamental legal principles underlying securities;
  • Shows how these principles apply to a wide range of issues that practitioners will encounter;
  • Covers the listing of securities
  • Deals with prospectuses and the marketing of securities;
  • Considers the transfers and sale of shares;
  • Examines related criminal and civil liability issues;

Subjects:
Banking and Finance
Contents:
Fundamentals of securities law
Sources of securities law in the UK
EC securities regulation
UK financial services regulation
Themes in the historical development of securities law in the UK
Practice in the securities markets
Securities markets in the UK
Corporate governance and procedures internal to the company
The marketing of securities
Financial promotion
Public offers of securities, listing and trading on regulated markets
Offers of securities to the public: an overview
The Principles underpinning the Listing Rules
The Model Code and inside information
Admission to listing
Prospectuses
Listing Particulars
Transparency obligations
Discontinuance of listing
The operation of the listing rules
Regulations relating to specific types of security
Regulations relating to specific types of company
The alternative investment market
The AIM Rules
Takeovers
Private law liability in the issue of securities
Persons responsible for offers of securities
Promoters
Civil liability 1: s.90 FSMA 2000
Civil liability 2: misrepresentation, contract and tort
Civil liability 3: fiduciaries and conflict of laws
Criminal law liability in the issue of securities
Insider dealing and market abuse
Fraud, theft and offences under FSMA 2000
The allotment of shares