Podcast Location:
Download it here [file size: 18.8 MB]
Categories:
Banking and Financial Services
CPD Points:
Up to 1 point. details »

Due to the difference in guidelines between the SRA and the Bar Standards Board, CPD points are awarded differently for Solicitors, Barristers and Legal Executives:

Regulated by the Solicitors Regulation Authority:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Regulated by the Bar Standards Board:
Listen and pass the quiz: Gain 1 accredited CPD point (60 minutes)

Regulated by ILEX:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Cost:
  • FREE
Length:
30 minutes of audio
(+ optional 5 minute online quiz)
Plays on Computer:
Yes Downloadable as MP3:    Yes
Contributor(s):
Course Aims:

This podcast is aimed at lawyers who want to understand the legal framework of the regimes for insider dealing. It also provides an update of some recent cases on insider dealing.

Outcomes:
After completing the course you will:
  • Understand the framework for the criminal regime for insider dealing;
  • Know what defences are available to the criminal offence;
  • Understand the framework for the civil regime for insider dealing;
  • Know the defences to the civil offence;
  • Have received an update on some recent cases on insider dealing.
Level:
Specialist Difficulty: 5 of 5
Classification:
Case Update
Legal Principles
Sources and References:
  • Criminal Justice Act 1993;
  • Financial Services and Markets Act 2000;
  • Financial Services and Markets Act 2000 (Market Abuse) Regulations 2005 (SI 2005 No. 381 of 2005);
  • Directive 2003/6/EC on insider dealing and market manipulation (market abuse) (‘the Market Abuse Directive’);
  • Insider Dealing (Securities and Regulated Markets) Order 1994;
  • Human Rights Act 1998;
  • FSA Code of Market Conduct.

In this podcast Charles Marquand, a barrister at 4 Stone Buildings who is an expert in financial service law, takes us through the legislative framework for the criminal and civil regimes for insider dealings. He examines what will constitute the offence and what defences are available in both regimes. He also discusses several recent cases which illustrate the FSA's approach to this area.

Podcast Added: 23/12/2008

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