Case-law of the Court of Justice of the European Union on Market Abuse at European Level


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A set of legislative instruments regulating market abuse have been adopted by the European Union. The principal contemporary legislative instrument in this field, addressed to its Member States, is the Regulation No 596/2014 of the European Parliament and of the Council on market abuse. Legislation has been supplemented by the case-law of the Court of Justice of the European Union (formerly known as the Court of Justice of the European Communities). It is a key element for the development of legal practice in all Member States of the European Union. The assessment of case-law on market abuse is therefore needed. The paper analyses relevant cases. In each case at the outset a reference for a preliminary ruling is mentioned. Further, dispute in the main proceedings and the question(s) referred for a preliminary ruling are analysed. The most important parts of analyses are considerations by the Court of Justice and its rulings

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作者简介

Libor Klimek

Matej Bel University

Email: libor.klimek@umb.sk
Associate Professor at the Department of Criminal Law, Criminology, Criminalistics and Forensic Disciplines and director of the Criminology and Criminalistics Research Centre at the Faculty of Law, Matej Bel University, Banská Bystrica in Slovak Republic. He is Visiting Professor at the Faculty of Law, Leipzig University in Germany. He is advisor of the Constitutional Court of the Slovak Republic Banská Bystrica, Slovak Republic

参考

  1. Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC as amended by the Regulation (EU) 2016/1033. Official Journal of the European Union, L 173/1, 12 June 2014.
  2. Article 1 of the Regulation (EU) No 596/2014 on market abuse.
  3. Treaty on the Functioning of the European Union as amended by the Treaty of Lisbon. Official Journal of the European Union, C 83/47 of 30 March 2010.
  4. Under Article 114 of the Treaty on the Functioning of the European Union the European Parliament and the Council of the European Union shall adopt the measures for the approximation of the provisions laid down by law, regulation or administrative action in Member States of the EU which have as their object the establishment and functioning of the internal market.
  5. Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse). Official Journal of the European Union, L 96/16, 12 April 2003.
  6. Council Directive 89/592/EEC of 13 November 1989 coordinating regulations on insider dealing. Official Journal of the European Communities, L 334/30, 18 November 1989.
  7. Commission Directive 2003/124/EC of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the definition and public disclosure of inside information and the definition of market manipulation. Official Journal of the European Communities, L 339/70, 24 December 2003.
  8. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC. Official Journal of the European Communities, L 145/1, 30 April 2004.
  9. See also: Opinion of Advocate General Léger delivered on 12 October 2000 - Case C-28/99 - Public Prosecutor (Openbaar Ministerie) (Belgium) versus Jean Verdonck and Others.
  10. Reference for a preliminary ruling by the Copenhagen District Court (Københavns Byret) (Denmark) by order of that Court of 14 August 2002 in the case of Anklagemyndigheden against Knud Grøngaard and Allan Bang (Case C-384/02).
  11. See also: Opinion of Advocate General Poiares Maduro delivered on 25 May 2004 - Case C-384/02 - Anklagemyndigheden versus Knud Grøngaard and Allan Bang.
  12. Reference for a preliminary ruling by the Council of State (Simvoulio tis Epikratias) (Greece) by order of that court of 6 July 2004 in the case of Minister for Economic Affairs (Ipourgos Ikonomikon) (Greece) and Tax authority of Amphissa (Proistamenos DOI Amfissas) (Greece) against Charilaos Georgakis (Case C-391/04).
  13. See also: Opinion of Advocate General Mengozzi delivered on 26 October 2006 - Case C-391/04 - Minister for Economic Affairs (Ipourgos Ikonomikon) (Greece), Tax authority of Amphissa (Proistamenos DOI Amfissas) (Greece) versus Charilaos Georgakis.
  14. Reference for a preliminary ruling from the Court of Appeal in Brussel (Hof van beroep te Brussel) (Belgium) lodged on 8 February 2008 - Spector Photo Group NV and Chris Van Raemdonck versus the Commission for Banking, Finance and Insurance (Commissie voor het Bank-, Financie- en Assurantiewezen) (Belgium) (Case C-45/08).
  15. See also: Opinion of Advocate General Kokott delivered on 10 September 2009 - Case C-45/08 - Spector Photo Group NV, Chris Van Raemdonck versus the Commission for Banking, Finance and Insurance (Commissie voor het Bank-, Financie- en Assurantiewezen) (Belgium).
  16. Reference for a preliminary ruling from the Administrative Court for Trade and Industry (College van Beroep voor het bedrijfsleven) (The Netherlands) lodged on 16 November 2009 - 1. IMC Securities BV, 2. Financial Markets Authority (Stichting Autoriteit Financiële Markten) (Case C-445/09).
  17. Reference for a preliminary ruling from the Federal Court of Justice (Bundesgerichtshof) (Germany) lodged on 14 January 2011 - Markus Geltl versus Daimler AG (Case C-19/11).
  18. See also: Opinion of Advocate General Mengozzi delivered on 21 March 2012 - Case C-19/11 - Markus Geltl versus Daimler AG.
  19. Request for a preliminary ruling from the Court of Cassation (Cour de cassation) (France) lodged on 2 December 2013 - Jean-Bernard Lafonta versus Financial Markets Authority (Autorité des marchés financiers) (France) (Case C-628/13).
  20. See also: Opinion of Advocate General Wathelet delivered on 18 December 2014 - Case C-628/13 - Jean-Bernard Lafonta versus Financial Markets Authority (Autorité des marchés financiers) (France).

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