Research Handbook on Representative Shareholder Litigation
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Research Handbook on Representative Shareholder Litigation

Edited by Sean Griffith, Jessica Erickson, David H. Webber and Verity Winship

Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.
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Chapter 28: CSRC enforcement of securities laws: preliminary empirical findings

Chao Xi


This chapter considers public enforcement of the securities laws in China. It draws on a unique, handcollected dataset comprising all 447 sanction decisions taken by the China Securities Regulatory Commission (CSRC), China’s primary securities regulator, during the period from 2006 through 2012. This study reveals that the patterns of those efforts have shifted over time, from an initial focus on violations of disclosure rules to targeting a much wider spectrum of wrongdoing including, in particular, insider trading and investment advisor violations. In enforcing China’s securities laws, the CSRC also does not typically assume individual or corporate liability alone, but frequently holds culpable both firms and the individuals responsible for the malfeasance in question.

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