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題名:美國證券與期貨市場布假單行為之研究--兼談我國法規範之走向
書刊名:銘傳大學法學論叢
作者:林黎華
作者(外文):Lin, Li-hua
出版日期:2021
卷期:35
頁次:頁189-256
主題關鍵詞:布假單操縱詐欺高頻交易分層策略報價阻撓供需委託基礎人為價格沖洗買賣SpoofingManipulationFraudHigh-frequency tradingLayeringQuote stuffingSupply and demandOrder-basedArtificial priceWash sale
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  • 點閱點閱:1
期刊論文
1.戴銘昇(20070400)。論證券詐欺之構成要件與民事責任。證交資料,540,28-55。  延伸查詢new window
2.吳克昌(20020800)。證券交易法反操縱條款之研析。證交資料,484,43-71。  延伸查詢new window
3.王宏瑞(2015)。淺談盤中逐筆競價機制對於開(收)盤資訊揭露的影響。證券服務,638,38-44。  延伸查詢new window
4.Scopino, Gregory(2015)。The (Questionable) Legality of High-Speed "Pinging" and "Front Running" in the Futures Markets。Connecticut Law Review,47(3),607-697。  new window
5.Lin, T. C. W.(2017)。The New Market Manipulation。Emory Law Journal,66(6),1253-1314。  new window
6.余珮琦(2007)。我國證券市場交易制度介紹。證券暨期貨月刊,25(4),5-17。  延伸查詢new window
7.Coppler, Catriona(2016)。The Anti-Spoofing Statute: Vague As Applied to the 'Hypothetically Legitimate Trader'。American University Business Law Review,5(2)。  new window
8.Fletcher, Gina-Gail S.(2021)。Deterring Algorithmic Manipulation。Vand. L. Rev.,74(2),259-325。  new window
9.Heinz, Joseph D.(2017)。Spoofing: Ineffective Regulation Increases Market Inefficiency。DePaul L. Rev.,67(1),77-104。  new window
10.McNamara, Steven(2016)。The Law and Ethics of High-Frequency Trading。Minn. J. L. SCI. & Tech.,17(1),71-152。  new window
11.Overdahl, James A.、Park, Kwon Y.(2016)。The exercise of anti-spoofing Authority in U.S. Futures Markets: Policy and Compliance Consequences。Futures and Derivative Law Report,36(5)。  new window
12.Pasquale, Frank(2015)。Law's Acceleration of Finance: Redefining the Problem of High-Frequency Trading。Cardozo L. Rev.,36(6)。  new window
13.Ps Den Era(2015)。Securities Fraud。Am. Crim. L. Rev.,52。  new window
14.Sanders, John I.(2016)。Spoofing: A Proposal for Normalizing Divergent Securities and Commodities Futures Regimes。Wake FOREST L. Rev.,51。  new window
15.Sar, Meric(2017)。Dodd-Frank and the Spoofing Prohibition in Commodities Markets。FORDHAM J. CORP.& Fin L.,22(3),383-416。  new window
16.Yeres, David、Houck, Robert、Berringer, Benjamin、Conceicao, Carlos、Pegden, Oliver(2016)。Spoofing: the first criminal conviction comes in the US--perspectives from the US and UK。Futures and Derivatives Law Report,36(1)。  new window
研究報告
1.劉春堂、郭土木、郭大維(2015)。期貨交易法第一〇六條各款構成要件與相關法律效果之研究。  延伸查詢new window
學位論文
1.江欣芸(2019)。論期貨市場操縱行為--以布假單為中心(碩士論文)。東吳大學。  延伸查詢new window
2.邱琳(2018)。論期貨之布假單行為之規範(碩士論文)。東吳大學。  延伸查詢new window
圖書
1.Austin, Janet(2017)。Insider Trading and Market Manipulation: Investigating and Prosecuting Across Borders。  new window
單篇論文
1.Cartea, Alvaro,Jaimungal, Sebastian,Wang, Yixuan(2019)。Spoofing and Price Manipulation in Order Driven Markets,https://papers.ssrn.com/so13/papers.cfm?abstract_id=3431139。  new window
2.Montgomer, John D.(20160503)。Spoofing, Market Manipulation, and the Limit-Order Book,https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2780579。  new window
3.Putniņš, Tālis J.(2018)。An overview of market manipulation,https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3398258。  new window
4.Tao, Xuan,Day, Andrew,Ling, Lan,Drapeau, Samuel(2020)。On Detecting Spoofing Strategies in High Frequency Trading,https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3746263。  new window
其他
1.黃鳳丹(20170329)。影子大單再現 證交所祭預收款項,http://www.chinatimes.com/newspapers/20170329000245-260210。  延伸查詢new window
2.中央社(20210710)。瞬間穩定價格措施延時 法人:有助減少虛掛單,https://udn.com/news/story/7251/5592941。  延伸查詢new window
3.呂淑美(20160510)。虛掛買賣單恐觸證交法,https://www.chinatimes.com/newspapers/20160510000218-260210?chdtv。  延伸查詢new window
4.鉅享網(20151105)。全球首例:美國高頻交易員被定罪華爾街慌了,https://news.cnyes.com/20151105/20151105160050086586510.shtml。  延伸查詢new window
5.臺灣期貨交易所。期貨市場「盤前資訊揭露」及「新增一定範圍市價委託」兩項交易新制,http://taifex.learn.hinet.net/tfe/MovieShow.aspx?content=990。  延伸查詢new window
6.Bloomberg News(20160713)。First trader convicted of spoofing gets three-year prison term,http://www.crainsnewyork.com/article/20160713/FINANCE/160719941/michael-coscia-54-ownerof-panther-energy-trading-llc-was-convicted-of-placing-larger-orders-he-didnt-intend-to-execute-while-filling-smaller-trades-on-the-opposite-side-a-maneuver-considered-spoofing-under-the-dodd-frankact。  new window
7.Leising, Matthew(20150514)。Market Cops Got Power to Pursue Spoofers After Years of Failure,https://www.bloomberg.com/news/articles/2015-05-14/market-cops-got-power-to-pursue-spoofers-after-years-of-failure。  new window
8.Hope, Bradley(20150222)。5 Things to Know About Spoofing in Financial Markets, and hurt other traders,http://blogs.wsj.com/briefly/2015/02/22/5-things-to-know-about-spoofing-in-financial-markets/。  new window
9.Cadwalader, Wickersham & Taft LLP(20160217)。United States: 'Spoofing'--A New, Amorphous Crime With Domestic & International Implications For Traders,https://www.mondaq.com/unitedstates/coxnnxoditiesderivativesstock-exchanges/466718/spoofing39-a-new-amorphous-crime-with-domestic-intemational-implications-for-traders。  new window
10.Canellos, George S.,Rangwala, Tawfiq S.,Walfish, Daniel R.,Jou, Jacob K.(2016)。The Law Surrounnding Spoofing in the Derivatives and Securities Markets,https://www.milbank.com/a/web/22241/Spoofing-in-the-Derivatives-and-Securitites-Markets-Nov-2015.pdf。  new window
11.CFTC(2020)。CFTC Orders JPMorgan to Pay Record 920 Million for Spoofing and Manipulation,https://www.cftc.gov/PressRoom/PressReleases/8260-20。  new window
12.CFTC(2020)。FY 2020 Division of Enforcement Annual Report,https://www.cftc.gov/PressRoom/PressReleases/8323-20。  new window
13.Comstock, Courtney(20100913)。Huge: First High Frequency Trading Firm is Fined for Quote Stuffing and Manipulation,http://www.businessinsider.com/huge-first-high-frequency-trading-firm-is-charged-with-quote-stuffing-and-manipulation-2010-9。  new window
14.Michaels, Dave(20210525)。Traders Shouldn't Get Prison Time in Spoofing Case,https://www.wsj.com/articles/traders-shouldnt-get-prison-time-in-spoofing-case-probation-office-says-11621971055。  new window
15.Deis, Greg,Kluchenek, Matt,Shi, Linda。Traders at Risk of DOJ Wire Fraud Charges for Spoofing,https://www.mayerbrown.com/-/media/files/news/2019/05/traders-at-risk-of-doj-wire-fraud-charges-for-spoofing.pdf。  new window
16.Stephens, Aaron,Fardon, Zach,Kirkpatrick, Katherine,Watling, Michael,Wissa, Matthew,Nettesheim, Margaret,King & Spalding LLP,Practical Law Finance(2019)。"Spoofing": US Law and Enforcement,https://www.kslaw.com/attachments/000/007/109/original/Spoofing_US_Law_and_Enforcement.pdf?1564767398。  new window
17.Hanna, Janan(20210621)。Ex-Deutsche Bank Trader Vorley Sentenced to 1 Year for Spoofing,https://www.bloomberg.com/news/articles/2021-06-21/ex-deutsche-bank-spoof-trader-vorley-gets-1-year-sentence#xj4y7vzkg。  new window
18.Henning, Peter J.(20151109)。Conviction Offers Guide to Future 'Spoofing' Cases,https://www.nytimes.com/2015/11/10/business/dealbook/conviction-offers-guide-to-future-spoofing-cases.html。  new window
19.(20100913)。High Frequency Trading Firm Fined 1M for Market Manipulation,https://wallstreetpit.com/44545-high-frequency-trading-firm-fined-1m-for-market-manipulation/。  new window
20.Jurgens, Jason,Obie, Stephen J.,Cacciola, Mario J.(20160209)。Spotlight on Spoofing: Looking Back at 2015 and Forward to 2016,https://www.lexology.com/library/detail.aspx?g=48292bcf-02f0-4d96-8816-d847bb82a4c9。  new window
21.Mizrahi, Avi(20151104)。High-Frequency Trader Faces Jail Time for Spoofing CME and ICE,https://www.financemagnates.com/institutional-forex/regulation/high-frequency-trader-faces-jail-time-for-spoofing-cme-and-ice/。  new window
22.Multer, Maxwell K.(2011)。Open-Market Manipulation under SEC Rule 10b-5 and its Analogues: Inappropriate Distinctions, Judicial Disagreement and Case Study: Ferc's Anti-Manipulation Rule,https://www.mondaq.com/unitedstates/commoditiesderivativesstock-exchanges/144132/open-market-manipulation-under-sec-rule-10b-5-and-its-analogues-inappropriate-distinctions-judicial-disagreement-and-case-study-fercs-anti--manipulation-rule。  new window
23.Rahman, Azizur(2021)。Market Manipulation Under US Federal Law,https://www.rahmanravelli.co.uk/expertise/market-manipulation-investigations/articles/market-manipulation-in-the-us-explained/。  new window
24.Reid, David(20200129)。'Flash crash' trader sentenced to one year of home detention,https://www.cnbc.com/2020/01/29/flash-crash-trader-navinder-singh-sarao-sentenced-to-home-detention.html。  new window
25.Wagner, Ryan,Bhala, Kara Tan。High Frequency Trading, Is High Frequency Trading Ethical?,https://sevenpillarsinstitute.org/case-studies/high-frequency-trading/。  new window
26.Wang, Yun-Yi。Strategic Spoofing Order Trading by Different Types of Investors in the Futures Markets,https://www.efmaefm.org/0EFMAMEETINGS/EFMA%20ANNUAL%20MEETINGS/2016-Switzerland/papers/EFMA2016_0171_fullpaper.pdf。  new window
圖書論文
1.林黎華(2016)。從美國證券市場談高頻交易監管制度之趨勢。當前公司與證券法制新趨勢:賴英照講座教授七秩華誕祝賀論文集。元照出版有限公司。  延伸查詢new window
2.Merli, Roberto、Massa, Ilaria、Lucchetti, Maria Claudia(2014)。High Frequency Trading: Technology, Regulation and Ethical Issues。Achievements And Challenges Of Commodity Science In The Age Of Globalization。  new window
 
 
 
 
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