内幕交易合规计划

Corporate Law: Corporate & Financial Law: Interdisciplinary Approaches eJournal Pub Date : 2019-01-08 DOI:10.1017/9781108759458.058

Stephen M. Bainbridge

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引用次数: 0

摘要

即将出版的公司合规手册中的这一章概述了公司内幕交易合规计划。它规定了联邦内幕交易禁令的基本法律框架。然后，它审查了公司采用合规计划的原因。下一章将回顾内幕交易合规程序的基本要素。最后，本章考察了10b5-1规则合规项目的特殊情况。

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Insider Trading Compliance Programs

This chapter in a forthcoming handbook on corporate compliance provides an overview of corporate insider trading compliance programs. It sets out the basic legal framework of the federal insider trading prohibition. It then reviews the reasons corporations adopt compliance programs. The chapter next reviews the basic elements of an insider trading compliance program. Finally, the chapter examines the special case of Rule 10b5-1 compliance programs.

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Corporate Law: Corporate & Financial Law: Interdisciplinary Approaches eJournal

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