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A Critical Study into Insider Trading Law - Corporate Governance Norms in India (2015)

Ref: law0019

The area of research chosen for this dissertation is the role of Corporate Governance to curb insider trading in India. It is a much known fact that as financial markets are developing, the white collar crimes are also becoming more and more sophisticated and so do the laws to deal with them. In recent years, because of massive frauds in financial markets and also to bolster the confidence of investors, the legislators and regulators have turned towards making corporate governance standards mandatory and also attaching penalties if there is any violation of these standards. The act of insider trading can be held as one of the most violent crimes as it destroys the confidence of investors. The two decade old insider trading law proved to be inept in curbing insider trading in India and as a result of this SEBI recently overhauled the 1992 regulations and passed Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015. In this globalized world regulations and policies need to be highly dynamic and change according to the international environment and the changing domestic economic condition, so it becomes imperative to study the adequacy of present laws. The dissertation addresses the problem of why there are no convictions on insider trading in India and whether the corporate governance measures are adequate to deal with problem of insider trading and the changes brought by 2015 regulations and its effect.

The area selected for research is very vast and thus there are various aspects which fall within the ambit of the study. However, it is not possible to encompass all of them. Hence the scope of this dissertation is to trace the history of insider trading law, relevant legislations, changes brought by the 2015 amendment and its effect. The dissertation will also make a comparative analysis between United States and India and to analyze reasons as to why convictions for insider trading are difficult. The study will deal with different case laws of India and the United States of America.

Dissertation Objectives

  • To trace the history of insider trading law in India and rationale of having a law against insider trading
  • To study the changes brought by the recent amendment and its subsequent effect on financial markets
  • To study the law of insider trading in the United States of America which has always been at the forefront of implementing the law against insider trading and its comparison with Indian Law
  • Why it is difficult to prosecute the offenders and the concepts of corporate governance which deal with insider trading

  • 13,000 words - 42 pages in length
  • Excellent use of literature
  • Excellent analysis of subject area
  • Well written throughout
  • Ideal for international law students


1 - Introduction

2 - History of Insider Trading
India
United States

3 - Rationale for the Law of Insider Trading
Economic Rationale
Equality and fairness
Classical Theory
Misappropriation Theory

4 - Comparative Analysis of Law of Insider Trading In India and United States of America
Who is an insider?
Knowledge and Motive
Motive in the United States
Use versus Possession in the United States and India
The Use versus Possession in United States
Investigative Powers in India and United States

5 - Corporate Governance and Insider Trading in India
Compliance Officer
Trading Window
Pre-clearance of Trade
Short Swing Profits
Chinese Wall
Law in India regarding Chinese Walls
Advantages of Chinese Walls
Disadvantages of Chinese Walls
Responses to Market Rumors
Disclosure to Analysts
Penalty

6 - Conclusion

Bibliography


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