New Securities Law

for

Investment Advisers

and

Market Participants

New Securities Law for
Investment Advisers and Market Participants
2008

Market Manipulation

Index to this chapter

• Introduction
• Prohibition Against False or misleading Statements or Information
  • What kind of statements or information is prohibited?
  • What must the person know about the truth of statements or information?
  • What effect must the statement or information have to be prohibited?
• Prohibition Against False or Misleading Appearance of Trading
  • What effect must the act or omission have?
  • What must the person know about the effect of the act or omission?
  • A person can be presumed to have contravened the prohibition
  • Exemptions
• General Dealing Misconduct
• Exceptions for Conduct Covered By Other Laws
• Enforcement and Remedies
  • Prohibition orders
  • Corrective orders
  • Procedure for making orders
  • Criminal offences
  • Court orders and injunctions
  • Civil remedies
  • Banning orders
• Glossary

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