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Full-Text Articles in Securities Law

Insider Trading Framework In United States And Egyptian Stock Markets, Elsayed Eldaydamony Jan 2019

Insider Trading Framework In United States And Egyptian Stock Markets, Elsayed Eldaydamony

Theses and Dissertations

This thesis examines the law of insider trading in both the American and Egyptian legal systems. It seeks to pinpoint the policy rationale behind prohibiting insider trading, the theories of civil enforcement and criminalization, and the concept of tipping in the United States. It also analyzes the express statutory prohibition under Egyptian law. Furthermore, it explains the doctrinal link between securities fraud and insider trading in the U.S. as well as the enforcement mechanisms in place at the SEC, the NYSE, and the NASDAQ. It also surveys the surveillance authority of the Egyptian Financial Regularity Authority and of the ...


A Critical Review Of U.S. Securities Laws And The Status Of Initial Coin Offerings: Potential Solutions For Issuers, Muhammed Kus Dec 2018

A Critical Review Of U.S. Securities Laws And The Status Of Initial Coin Offerings: Potential Solutions For Issuers, Muhammed Kus

Theses and Dissertations

Securities law in the United States has a unique approach to defining what is a security and what is not a security. It includes broadly defined terminology and describes several investment instruments that may be considered a security. Courts use one of two methods to determine whether an investment contract is a security: the Howey Test and the Risk Capital Test.

Initial Coin Offerings are one of the most recent instruments that courts and other governmental organizations need to examine in order to answer whether they meet the criteria of being a security. Depending on the result, the issuers may ...


Islamic Terrorism In The United States – The Association Of Religious Fundamentalism With Social Isolation & Paths Leading To Extreme Violence Through Processes Of Radicalization., Shay Shiran Jun 2018

Islamic Terrorism In The United States – The Association Of Religious Fundamentalism With Social Isolation & Paths Leading To Extreme Violence Through Processes Of Radicalization., Shay Shiran

Student Theses

This exploratory study focuses on identifying motivations for religious terrorism and Islamic terrorism in the United States in particular. Terrorism is a crime of extreme violence with the end purpose of political influence. This crime is challenging to encounter for its multi-faced characteristics, the unusual motivations of its actors, and their semi-militant conduct. The hypothesis of this study asserts that religious terrorists are radicalized by passing from fundamental to extreme devout agendas, caused by isolation from the dominant society, and resulted in high potential to impose those agendas by extreme violence. Under the theoretical framework of subculture in criminology, this ...


A Close Look At Audit Standards And Best Practices How To Validate The Existence Of An Asset, Luis Lebron May 2018

A Close Look At Audit Standards And Best Practices How To Validate The Existence Of An Asset, Luis Lebron

Economic Crime Forensics Capstones

A comparative analysis will be conducted seeking to identify how to obtain sufficient evidence to determine the existence of an asset within an organization during an independent audit. The external auditor is often regarded as the “gatekeeper” of the financial markets which has a fiduciary duty to its clients. (Choy, Fields, & King, 2008) Accounting firms are required by operation of law to act in an ethical manner and have a social responsibility to protect the interest of the public. However, there exists an ongoing issue in the performance of audits by larger firms. In a recent study conducted by the ...


Equitable Sharing Aids Circumventing State Civil Asset Forfeiture, Ella Fisher May 2018

Equitable Sharing Aids Circumventing State Civil Asset Forfeiture, Ella Fisher

Economic Crime Forensics Capstones

Civil Asset Forfeiture (CIVIL ASSET FORFEITURE) is a disputable law enforcement asset utilized to combat the war on drugs and criticized as an abusive practice. Are law enforcement agencies really combatting the war on drugs using civil asset forfeiture law or just using the law for their own self interests? Civil Asset Forfeiture abuse relates to perverse incentives which are further aided by the federal equitable sharing program (ESP). Civil asset forfeiture law allows owners’ assets to be seized and forfeited, by law enforcement agencies without a warrant and/or a criminal conviction. When federal agencies adopt and prosecute, state ...


The Significance Of Mongolia's Foreign Policy And Security Apparatus On A Global And Regional Scale, Bolor Lkhaajav May 2018

The Significance Of Mongolia's Foreign Policy And Security Apparatus On A Global And Regional Scale, Bolor Lkhaajav

Master's Projects and Capstones

Mongolia, land-locked between two politically, economically, and militarily powerful nations — Russia and China — often must balance its foreign and security policies with its two neighbors and countries beyond. When discussing Mongolia’s foreign policy and security apparatus, historians and scholars look at the international relations of East Asia as a whole. This is the case not because Mongolia’s foreign policy is insignificant but because greater powers impose greater influence on smaller states. Mongolia’s partial involvement in World War II (WWII), and the Cold War introduced new challenges as well as opportunities for Mongolia to modernize its foreign policy ...


A Legal Analysis On Enterprises Overseas Fundraising -- A Comparison Between The U.S. Market And The Taiwanese Market, Ke Ho Jan 2017

A Legal Analysis On Enterprises Overseas Fundraising -- A Comparison Between The U.S. Market And The Taiwanese Market, Ke Ho

Theses and Dissertations

Since the 1990’s, Taiwan’s government has made efforts to upgrade economic development by attraction more foreign enterprises to enter the domestic capital market. However, in the early 2000s, statistics indicated that the number of such new enterprise listings in Taiwan actually decreased. Some believe a very important factor in the decrease to the number of new listings in Taiwan is the current regulatory framework’s lack of flexibility. It is assumed that the regulatory intensity for foreign enterprises is very high. In order to review this intensity on the foreign issuer, this dissertation presents research on the law ...


Real Estate Investment Trusts In Canada, Samita Pachai Jul 2016

Real Estate Investment Trusts In Canada, Samita Pachai

Electronic Thesis and Dissertation Repository

The Canadian real estate investment trust (REIT) industry began in the early 1990s and, over the past twenty years, the legislative landscape governing REITs has changed dramatically. This dissertation examines how REIT legislation has progressed in Canada and the effects it has had on the industry as a whole. After examining the basic characteristics of a REIT, an overview of the legislative evolution is presented. This thesis argues that recent legislation has been successful in allowing REITs to flourish, with 48 public equity REITs now trading in Canada comprising a market capitalization of over CAD 50 billion. A thorough examination ...


A Critique Of Saudi M&A Laws, Mulhim Hamad Almulhim Apr 2016

A Critique Of Saudi M&A Laws, Mulhim Hamad Almulhim

SJD Dissertations

This dissertation aims to elucidate Saudi Arabia’s mergers and acquisitions (M&A) laws. The dissertation studies and analyzes current Saudi M&A laws with reference to comparative models from different countries and provides recommendations to improve the transparency and efficiency of Saudi Arabia’s M&A laws. Such improvements may help companies attempting to conduct M&A activity in Saudi Arabia address certain barriers and difficulties, which may in turn help to stimulate the Saudi Arabian economy.

Saudi Arabia is considered one of the world’s foremost emerging markets. Since Saudi Arabia joined the World Trade Organization, its stock ...


When Insider Trading And Market Manipulation Cross Jurisdictions: What Are The Challenges For Securities Regulators And How Can They Best Preserve The Integrity Of Markets?, Janet Elizabeth Austin Jan 2016

When Insider Trading And Market Manipulation Cross Jurisdictions: What Are The Challenges For Securities Regulators And How Can They Best Preserve The Integrity Of Markets?, Janet Elizabeth Austin

PhD Dissertations

Over the last few decades world securities markets have become significantly more sophisticated in terms of how securities are traded as well as the variety of securities traded. My hypothesis is that the ability of securities regulators to take enforcement action against market abuse has not kept pace with the level of sophistication of the markets and, in particular, the way in which trading can take place across borders and the manner in which market related information can spread rapidly across the world. I argue that that regulators need to do more to protect the integrity of the markets by ...


Enhancing The Compensatory Roles Of Financial Regulatory Agencies In South Korea: Lessons From The U.S. Sec's Fair Fund, Daeil Kim May 2015

Enhancing The Compensatory Roles Of Financial Regulatory Agencies In South Korea: Lessons From The U.S. Sec's Fair Fund, Daeil Kim

Theses and Dissertations

Recent financial scandals in South Korea that caused massive harms to financial consumers instigated voices that financial regulators should play a more active role in recompensing victims for losses incurred by misconduct in the financial market. In this regard, this thesis aims to suggest several considerations in developing the compensation scheme for injured financial consumers in Korea. This thesis first reviews the Federal Account for Investor Restitution (FAIR) Fund operated by the U.S. Securities and Exchange Commission. Specifically, it broadly addresses the history, overall process, operation, and major issues related to the FAIR Fund. Based on the FAIR Fund ...


A Comparative Analysis Of Shareholder Derivative Litigations In Taiwan: Rethinking Of Law, Implementation, And Suggestion, Ting-Hsien Cheng Dec 2014

A Comparative Analysis Of Shareholder Derivative Litigations In Taiwan: Rethinking Of Law, Implementation, And Suggestion, Ting-Hsien Cheng

Theses and Dissertations

Since the 1990s, Taiwan’s capital market has been tarnished by several corporate scandals, many involving managerial embezzlements and false/misleading financial reports. One of the main reasons why these scandals frequently occurred is the lack of an effective system of checks-and-balances or good corporate governance mechanisms within Taiwan’s companies. To deal with this deficiency for corporate governance, there have been many discussions in Taiwan’s academia of corporate laws about how to reform the provisions of Taiwan Company Act, especially for a better internal monitoring mechanism.

In fact, in last two decades, Taiwan has taken a series of ...


Rethinking Hedge Fund Regulation: Focusing On The U.S., The U.K., And Korea, Eun Jip Kim May 2014

Rethinking Hedge Fund Regulation: Focusing On The U.S., The U.K., And Korea, Eun Jip Kim

Theses and Dissertations

Until the global financial crisis in 2008, hedge funds had relied on various safe harbor rules to remain unregulated. Since then, various subprime mortgage crisis-driven regulatory reforms have been made worldwide. Through the implementation of registration and reporting obligations the hedge fund regulatory framework has been changed to reinforce regulations that may provide financial stability, making hedge funds more like other regulated entities.

Current hedge fund regulations are based on the policy grounds, on one hand, that macro-prudential regulations are necessary due to the potential adverse effects on the market from hedge fund size and leverage positions, and on the ...


Transnational Corporate Regulation Through Sustainability Reporting: A Case Study Of The Canadian Extractive Sector, Navraj S. Pannu Apr 2014

Transnational Corporate Regulation Through Sustainability Reporting: A Case Study Of The Canadian Extractive Sector, Navraj S. Pannu

Electronic Thesis and Dissertation Repository

Despite the benefits transnational corporations (TNCs) offer, they remain largely unregulated entities, enabling environmental, social, and human rights violations to be overlooked. Canadian extractive sector TNCs operating internationally are frequently cited as major perpetrators of such violations. Literature on new governance and self-regulation as well as global corporate social responsibility (CSR) increasingly offers disclosure and reporting as a solution for TNC regulation. This study examines disclosure in international CSR frameworks, and the reflexive law and new governance theories explaining the role of such disclosure and reporting. Mirroring international CSR initiatives, Canadian jurisdictions are increasingly recommending disclosure for its extractive sector ...


Securities Regulation Of Ontario Venture Issuers: Rules Or Principles?, John Pearson Allen Jan 2013

Securities Regulation Of Ontario Venture Issuers: Rules Or Principles?, John Pearson Allen

PhD Dissertations

Should the securities regulation of Ontario venture issuers be based primarily on rules or principles? Advocates for rules argue that detailed rules, with predictable meaning and scope, allow participants to focus on matters other than compliance. Advocates for principles argue that when an activity is complex, such as securities trading, detailed rules can become a confusing web, obscuring core values and discouraging creative solutions. The rules and principles literature is reviewed, along with the topics of risk-based, responsive, outcomes oriented and proportionate regulation. Governance theory is addressed and various compliance theories are discussed. From this, eight factors are gleaned to ...


Mismanagement Of Emerging Stock Markets: Analysis Of The Role Played By "Legislative Infidelity" - A Norm Of Int'l Economic Jurisprudence - In The N8.1tn ($60bn) Crash Of Nigeria Stock Market, Collins U.C. Ikebudu Apr 2011

Mismanagement Of Emerging Stock Markets: Analysis Of The Role Played By "Legislative Infidelity" - A Norm Of Int'l Economic Jurisprudence - In The N8.1tn ($60bn) Crash Of Nigeria Stock Market, Collins U.C. Ikebudu

Theses and Dissertations

The crash of Nigeria stock market which occurred between 2008 and 2009 was unusual. Events that preceded the crash, misconducts of market operators and regulators before, during, and after the crash, the reckless hypes and spins that generated lots of frenzied trading leading to the astronomical rise of Nigeria stock market to number one position in the world, and the synchronization and magnitude of the crash that followed - all exhibit signs of organized scheme.

Thanks to the English Bubble Act of 1720 with which South Sea Corporation precipitated a one hundred and five years securities fraud in Britain, the infamous ...


An Examination Of The Government Accounting Standards Board, Christopher D. Jones Jan 2010

An Examination Of The Government Accounting Standards Board, Christopher D. Jones

CMC Senior Theses

This thesis examines the Government Accounting Standards Board by considering its history, current structure, and treatment of a current accounting standards debate. It then uses this examination to make recommendations as to reforms of the GASB and government accounting.


The International Law Related To Maritime Security : An Analysis Of Its Effectiveness In Combating Piracy And Armed Robbery Against Ships, Anete Logina Jan 2009

The International Law Related To Maritime Security : An Analysis Of Its Effectiveness In Combating Piracy And Armed Robbery Against Ships, Anete Logina

World Maritime University Dissertations

No abstract provided.