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?Greg is a member of the board of directors of Huge plc. He also controls a private limited company, Imp Ltd,?through which he operates a management consultancy business. He also owns all the shares in Jet Ltd,?through which he conducts an investment business.?

When Greg learns that Huge plc is going to make a take-over bid for Kop plc, he arranges for Jet Ltd to buy a?large number of shares in Kop plc on the London Stock Exchange, on which it makes a large profit when it?sells them after the takeover bid is announced. He then arranges for Jet Ltd to transfer the profit to Imp Ltd?as the charge for supposed consultancy work. The money is then transferred to Greg through the declaration?of dividends by Imp Ltd.?

38

【論述題】

?State what is meant by securities being 'price sensitive' in the context of insider dealing?

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考點(diǎn)：Chapter22Fraudulentandcriminalbehaviour

?Price sensitive means that if the information is made public, it is likely to have a significant effect on share?price.?

多做幾道

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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.

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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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