Willkie Compliance Concourse
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FRANCE
Compliance
Enforcement
  • Statutes and Official Guidance

  • Insider Trading Overview

  • Statute of Limitations

  • Who May be Liable for Insider Trading?

  • Element: Jurisdiction

  • Spotlight on the Extraterritorial Reach of Insider Trading Laws

  • Element: Trading While in Possession

  • Element: Material, Non Public Information (MNPI)

  • Element: Breach of a Duty

  • Classical Theory: Breach by a Corporate Insider

  • Misappropriation Theory: Breach by a Corporate Outsider

  • Element: In Exchange for Value

  • Element: Knowledge and Scienter

  • Alternative Criminal Basis of Insider Trading Liability: Conspiracy

  • Conspiracy to Defraud the US

  • Alternative Basis of Criminal Liability: Wire Fraud

  • Alternative Basis of Criminal Liability: Securities and Commodities Fraud under 18 USC § 1348

  • Defenses

  • The Safe Harbor Defense under Rule 10b5-1

  • The STOCK Act

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