BUS 5111 Group 0009C - Group Activity.pptx

Insider trading

1. Insider Trading Regulatory Rules BUS 5111 - Financial Management Group 0009C Group Members: Frank Awuku-Yobo Ewunetu Deressa Ihab Mokbel Nicholas Odanga Kharisa Simon Dr. Dinesh Tandon

2. Insider Trading Regulatory Rules BUS 5111 - Financial Management Dr. Dinesh Tandon Group Members Assigned Responsibilities Frank Awuku-Yobo Research on Legal Implications Ewunetu Deressa Research on Ethical Implications Ihab Mokbel Research on Economic-Social Implications Nicholas Odanga (Assisted by Ihab Mokbel) References, Proofreading and Editing Kharisa Simon (Assisted by Ihab Mokbel) Presentation Design, Editing and Coordination

3. Introduction to Insider Trading Definition of insider trading Overview of legal framework Importance of regulations in maintaining market integrity

4. Section 16 (b) of Securities Exchange Act of 1934 Insider Trading Sanctions Act of 1984, Insider Trading and Securities Fraud Enforcement Act of 1988) Criminal Penalties and Civil Penalties Fines Imprisonment Legal Implications of Insider Trading

5. Ethical Implications of Insider Trading Violation of fiduciary duty Degradation of Market integrity Transparency and trust Unfair advantage to shareholders Impact on investor confidence

6. Economic and Social Implications Market efficiency Investor confidence Overall market integrity

7. Case Study Application Scenario description Analysis of Insider knowledge use Legal, ethical, and economic considerations

8. Preventative Measures and Best Practices Compliance programs Training and Awareness Robust monitoring systems

9. Conclusion Reinforcement of the importance of regulatory rules Summary of legal, ethical, and economic implications Final thoughts on maintaining market integrity and investor confidence

10. References Bainbridge, S. M. (2000). Insider Trading Law and Policy. Harvard University Press. Boatright, J. R. (2014). Ethics in Finance. Wiley. Duska, R. F. (2007). Contemporary Reflections on Business Ethics. Springer. Jaffe, J. F. (1974). The Effect of Regulation Changes on Insider Trading. The Bell Journal of Economics and Management Science, 5(1), 93-121. Leland, H. E. (1992). Insider Trading: Should it be Prohibited? Journal of Political Economy, 100(4), 859-887. Macey, J. R. (2018). Insider trading: Economics, politics, and policy. AEI Press.

11. References Klaw, B. W., & Mayer, D. (2019, June 20). Ethics, markets, and the legalization of insider trading – Journal of Business Ethics. SpringerLink. Retrieved from https://link.springer.com/article/10.1007/s10551-019-04238-0#citeas McGee, R. W. (2009, April 11). Analyzing insider trading from the perspectives of utilitarian ethics and Rights Theory – Journal of Business Ethics. SpringerLink. Retrieved from https://link.springer.com/article/10.1007/s10551-009-0068-2 O’Hara, P.A. (2001), “Insider trading in financial markets: legality, ethics, efficiency”, International Journal of Social Economics, Vol. 28 No. 10/11/12, pp. 11046-1063.Retrived from https://doi.org/10.1108/EUM0000000006139 Securities and Exchange Commission [SEC]. (n.d.). Insider Trading. Retrieved from https://www.sec.gov/insider-tradin

12. Securities and Exchange Commission. (n.d.). Insider Trading Sanctions Act of 1984. Securities and Exchange Commission. (n.d.). Insider Trading and Securities Fraud Enforcement Act of 1988. Securities and Exchange Commission. (n.d.). Securities Exchange Act of 1934. References