1 hr confidence:   recebedores de informações
Explanation:
Sugestão. Espero que ajude.
extra.globo.com/.../cacciola-diz-que-banco-pactual-que-tinha-inform...
5 ago. 2010 – Além de Cacciola ter apontado diretamente o Banco Pactual de ter sido o principal recebedor de informações privilegiadas do BC, o delegado ...
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7 hrs confidence:
2 hrs confidence: peer agreement (net): +1 detentores de informações confidenciais por terceiros (sem relação direta com a empresa)
Explanation:
In 2002, the SEC tightened its rules by adopting the Regulation Fair Disclosure to curb the practice of company executives giving securities analysts an inside track; the rules mandate that anything disclosed to an outsider must be revealed to the general public.
Penso que "tippee" se refere ao detentor de informação confidencional, rmbotra não seja funcionário ou prestador de serviços ne associado à empresa, mas que saiba por outro meio (amigos/as, parentes, confidentes, etc etc), como explicado abaixo:
The SEC also includes in its definition of insiders those who have “temporary” or “constructive” access to the material information, such as business associates, friends, family members, brokers, attorneys and “other tipees.” The U.S. Supreme Court ruled recently that any individual, with or without ties to the particular company, who is in possession of material information, even if the information was stolen, is an insider.
http://caselaw.lp.findlaw.com/scripts/getcase.pl?court=US&vo...
That case, U.S. Supreme Court in DIRKS v. SEC, 463 U.S. 646 (1983)
463 U.S. 646: DIRKS v. SECURITIES AND EXCHANGE COMMISSION
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE DISTRICT OF COLUMBIA CIRCUIT, No. 82-276, just defined the tipees (receivers of second-hand information)
which states:
....
2. Unlike insiders who have independent fiduciary duties to both the corporation and its shareholders, the typical TIPPEE has no such relationships. There must be a breach of the insider's fiduciary duty before the tippee inherits the duty to disclose or abstain. Pp. 654-664.
Argued March 21, 1983
Decided July 1, 1983
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Note added at 2 hrs (2012-08-01 07:40:52 GMT)
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INSIDER TRADING UNDER - THE FEDERAL SECURITIES LAWS
http://www.lockelord.com/files/News/ca528475-f18a-4f12-8222-...
...
I. Insider Trading - Basic Elements of a Violation.
As stated above, the traditional violation of insider trading law involves the purchase or sale of securities by an "insider" while in the possession of material non-public information. The following discussion addresses the basic elements of such a viol ation. This section will also address tipper/tippee liability.
4. Prohibition against Tipping.
In addition to the basic prohibition on trading while in possession of material non-public information, federal securities laws also impose a prohibition on insiders providing "tips" to outside persons, often friends and family members. This is generally known as "tipping," which has been interpreted very broadly by both federal courts and the SEC. The restriction prohibits an insider (the "tipper") from disclosing to another person (the "tippee") (i) material non-public information regarding a public company, or (ii) making buy or sell recommendations regarding the securities of such public company. Further, this restriction prohibits the tippee from buying or selling securities based upon such inside information. In a typical tipping case, there is a long chain of both tippers and tippees. Under federal securities laws, both the tipper and the tippee may be liable for insider trading violations. This is true even if the tipper does not engage in any trading activity, and does not realize any financial gain from such information.
5 People with access to material non-public information must be very careful when it comes to tipper liability. As set forth above, a tip does not need to be in the form of a specific buy/sell recommendation, but may also be in the form of disclosure of material non-public information to a tippee. Thus, to the extent that a corporate insider casually discloses material non-public information to a friend over dinner, and that friend subsequently trades in the subject securities, the insider may be subject to liability.
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Note added at 3 hrs (2012-08-01 07:54:36 GMT)
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ALTERNATIVA:
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POSSUIDORES DE INFORMAÇÕES CONFIDENCIAIS ATRAVÉS DE TERCEIROS (COM VÍNCULOS COM A EMPRESA)
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Note added at 16 hrs (2012-08-01 21:35:57 GMT)
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As penas previstas para o tippee - na grafia correta - são de caráter penal e civil. Perdã, mas entendo que se trata do repasse de informações prvilegiadas, coisa bem mais forte que dica.
Example sentence(s):- The SEC also includes in its definition of insiders those who have “temporary” or “constructive” access to the material information, such as business associates, friends, family members, brokers, attorneys and “other tipees
- Unlike insiders who have independent fiduciary duties to both the corporation and its shareholders, the typical TIPPEE has no such relationships.
Reference: http://scherzerblog.com/tag/sarbanes-oxley-act/
Reference: http://caselaw.lp.findlaw.com/scripts/getcase.pl?court=US&vo...
| Antonio Barros
Brazil
Local time: 09:40
Specializes in field
Native speaker of: Portuguese
PRO pts in category: 93
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1 day 3 hrs confidence: peer agreement (net): +1
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