Understanding Public Enforcement of Securities Law in China: An Empirical Analysis of the Enforcement Outcomes of CSRC's Regional Offices

2017 ◽  
Author(s):  
Wenming Xu
Keyword(s):  
Empirical Analysis ◽  
Public Enforcement ◽  
Securities Law

An Empirical Analysis of Public Enforcement of Directorss Duties in Australia: Preliminary Findings

2016 ◽  
Author(s):  
Jasper Hedges ◽  
Helen Louise Bird ◽  
George Gilligan ◽  
Andrew Godwin ◽  
Ian Ramsay
Keyword(s):  
Empirical Analysis ◽  
Public Enforcement

scholarly journals OS ILÍCITOS E DAS AÇÕES PRIVADAS DE REPARAÇÃO DE DANO NO MERCADO DE CAPITAIS

2020 ◽  
Author(s):  
Marcus de Freitas Gouvea
Keyword(s):  
Insider Trading ◽  
Capital Market ◽  
Private Enforcement ◽  
Market Manipulation ◽  
Public Enforcement ◽  
The Public ◽  
Securities Law ◽  
Class Actions ◽  
The Law ◽  
The Individual

Resumo O Brasil inicia uma fase de aplicação da lei que rege o mercado de capitais, pela iniciativa privada, não em rompimento, mas em acréscimo a aplicação do direito por órgãos públicos. Aplicação da lei por iniciativa dos particulares vem a reboque do contexto histórico, relacionado tanto a ações privadas, individuais e coletivas, de outros ramos do direito, como consumidor, concorrência, quanto a notícias de escândalos e de combate a corrupção, envolvendo infrações ao mercado. Este texto procura apresentar as linhas gerais dos ilícitos mais importantes contra o mercado de capitais bem como das ações privadas de aplicação do direito que o regula. Dentre as infrações, o texto discute a manipulação do mercado, o uso indevido de informações privilegiadas e outros delitos informacionais. Quanto as ações, o artigo aponta os requisitos básicos da ação individual, da ação civil pública e da ação de responsabilidade do administrador, como meios de reparação de danos decorrentes de infrações ao mercado de capitais. Abstract Brazil begins to experience a private enforcement era of the law of the capital market, in addition to the public enforcement. The private enforcement of the securities law has been influenced by the development of the individual or class actions based on the law that regulates other areas, v.g. consumers law and antitrust law, and by news about the fight against corruption in Brazil. This paper presents the framework of the most important types of capital market misconducts and of the kinds of actions that can be used to enforce the law. The text discuss the practice of market manipulation, insider trading and other practices related to disclosure of information. Among the types of actions, the text discuss the basic requirements of the individual action, the collective action and the derivative action as ways to enforce the securities law in Brazil.  

An Empirical Analysis of the Obtrusiveness of and Participants' Compliance with the Electronically Activated Recorder (EAR)

2007 ◽  
Vol 23 (4) ◽  
pp. 248-257 ◽  
Author(s):  
Matthias R. Mehl ◽  
Shannon E. Holleran
Keyword(s):  
Empirical Analysis ◽  
Sampling Method ◽  
Daily Life ◽  
Assessment Method ◽  
Data Confidentiality ◽  
Short Term ◽  
Naturally Occurring ◽  
Two Samples ◽  
Audio Recorder ◽  
Term Monitoring

Abstract. In this article, the authors provide an empirical analysis of the obtrusiveness of and participants' compliance with a relatively new psychological ambulatory assessment method, called the electronically activated recorder or EAR. The EAR is a modified portable audio-recorder that periodically records snippets of ambient sounds from participants' daily environments. In tracking moment-to-moment ambient sounds, the EAR yields an acoustic log of a person's day as it unfolds. As a naturalistic observation sampling method, it provides an observer's account of daily life and is optimized for the assessment of audible aspects of participants' naturally-occurring social behaviors and interactions. Measures of self-reported and behaviorally-assessed EAR obtrusiveness and compliance were analyzed in two samples. After an initial 2-h period of relative obtrusiveness, participants habituated to wearing the EAR and perceived it as fairly unobtrusive both in a short-term (2 days, N = 96) and a longer-term (10-11 days, N = 11) monitoring. Compliance with the method was high both during the short-term and longer-term monitoring. Somewhat reduced compliance was identified over the weekend; this effect appears to be specific to student populations. Important privacy and data confidentiality considerations around the EAR method are discussed.

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