Willkie Compliance Concourse
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Compliance
Enforcement
  • Statutes and Official Guidance

  • Insider Dealing Overview

  • Criminal Justice Act 1993 (CJA) Overview

  • Market Abuse Regulation (MAR) Overview

  • Statute of Limitations

  • Who May be Liable for Insider Trading?

  • Element: Applicable Instruments

  • Element: Inside Information

  • Element: Knowledge, Use of Inside Information

  • Exception under MAR: Marketing Sounding

  • Exemptions under MAR: Buy Back Programs, Stabilization Measures

  • Defenses under CJA

  • Defense: Unforeseeable Profit Related to Inside Information

  • Defense: Reasonable Belief Information Widely Disclosed so that No Others Dealing Would be Prejudiced

  • Defense: Dealing Unrelated to Inside Information

  • Defense: Market Makers

  • Defense: Market Information

  • Defense: Transactions

  • Defense: Buy Back and Stabilization Programs

  • REMIT

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