題目

?Explain whether Kip and Lu have committed the offence of insider dealing?

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考點：Chapter22Fraudulentandcriminalbehaviour

?Kip is an insider by virtue of his position as an accountant in Jaz plc. The information he holds is price-sensitive because it concerns large profits. Therefore, it would appear that he is liable under for dealing in?price-affected securities. None of the defences would apply to him as he clearly expected to make a profit.??

He also becomes liable for the offence of encouraging another to deal in price-affected securities when he?advises Lu to buy shares in Jaz plc.?

Lu received inside information from Kip who he knew to be an insider. Therefore he is liable, like Kip, for?trading using inside information.?

多做幾道

材料全屏

Vlad generates a substantial income from illegal tax evasion and sought advice from Gloria (his personal accountant) on how to dispose of his illegal earnings. Gloria suggested that to disguise the source of the funds, Vlad should purchase a chain of restaurants and pass his gains from the illegal operation through the restaurants' accounts. Vlad agreed with Gloria’s proposal and appointed her as the restaurant chain’s finance director and together they passed the illegal money through the operation.

25

【論述題】

State the offence of money laundering.

State whether Gloria has any liability for money laundering.

State whether Vlad has any liability for money laundering.

材料全屏

In January the board of directors of Huge plc decided to make a takeover bid for Large plc. After the decision?was taken, but before it is announced, the following chain of events occurs:?

(1) Slye, a director of Huge plc, buys shares in Large plc?

(2) Slye tells his friend Mate about the likelihood of the takeover and Mate buys shares in Large plc?

(3) At a dinner party Slye, without actually telling him about the takeover proposal, advises his brother?Tim to buy shares in Large plc and Tim does so?

28

【論述題】

?State whether Slye committed insider dealing when he bought shares in Large plc?

?State whether Mate has any liability for insider dealing?

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