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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
ANZ, Deutsche, Citigroup Face Trial Over Criminal Cartel Case
By Editors | 09/12/2020
The banks are alleged to have colluded on how to offload ANZ shares in 2015 by restricting supply to maintain market prices.
Market Abuse
CSRC Investigates SOE and Auditor Over Bond Default
By Manesh Samtani | 03/12/2020
SOE defaults could pave the way for increased transparency, faster resolutions and more predictable outcomes for investors in the long run.
Market Abuse
Former Convoy Executives Found Not Guilty in ‘Enigma Network’ Case
By Editors | 02/12/2020
The judge ruled that the evidence provided by prosecutors was not sufficient to prove there was any attempt to deceive the stock exchange or Convoy directors or investors.
Market Abuse
China Bond Default Shock Prompts NAFMII Underwriter Probe
By Manesh Samtani | 19/11/2020
Haitong Securities, Industrial Bank, China Everbright Bank, Zhongyuan Bank are suspected of violations, as recent defaults prompt concerns over the health of SOEs.
Market Abuse
Deloitte Appointed to Review RBNZ Processes After Accidental Disclosure
By Editors | 18/11/2020
A letter confirming RBNZ’s decision to introduce a Funding for Lending Programme was sent to financial services firms 45 early last week.
Trading & Investment
FSC Korea Confirms Plan to Lift Short Selling Ban in March
By Editors | 12/11/2020
The lifting of the ban will apply to all stocks regardless of the market cap, despite an earlier proposal to keep it in place for small-cap stocks.
Market Abuse
SC Malaysia Wins MYR 3.1m in Insider Trading Case
By Sanday Chongo Kabange | 05/11/2020
The former senior partner of a law firm acquired shares in Worldwide Holdings in the months leading up to an announcement that the firm would be privatised.
Market Abuse
MAS Targets Market Abuse, Misconduct, AML Control Breaches
By Editors | 04/11/2020
In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
Market Abuse
KRX Probes Market Makers’ Compliance With Short Selling Rules
By Editors | 02/11/2020
The inspection will cover all 22 market makers, focusing on whether they conducted naked short selling and whether they violated the uptick rule.
Market Abuse
Singapore Courts Charge Two for Cheating, False Trading
By Editors | 30/10/2020
Ex-KTL Global CEO Tan Kheng Yeow and OCBC Securities trading rep Tan Chun Yong are said to have been involved in a conspiracy for false trading.
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