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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
Singapore: Ex-Fund Manager Charged for Acts Likely to Defraud Investors
By Editors | 27/10/2020
The former fund manager allegedly sold bonds at lower-than-market prices from one fund he managed to another fund, knowing there were higher offers for the same bonds.
Market Abuse
FSC Korea Kicks Offs New Task Force to Address Illegal Trading
By Editors | 22/10/2020
Korean regulators will work to enhance cross-agency information sharing, introduce a new market abuse monitoring system, and raise penalties for unfair trading activities.
Market Abuse
SFC Imposes 24-month Market Ban for Takeovers Code Breach
By Sanday Chongo Kabange | 20/10/2020
The mandatory general offer obligation under the Takeovers Code was triggered 20 times by AV Concept Holdings chairman and his concert parties.
Market Abuse
FSS Korea to Launch Probe Into Samsung Securities
By Editors | 18/10/2020
Samsung Securities allegedly intervened to secure support from shareholders of a Samsung entity for a 2015 merger while also acting as adviser to the other party in the transaction.
Trading & Investment
China Vows to Improve Quality of Listed Companies
By Editors | 18/10/2020
A new State Council guideline promotes the issuance of domestic shares to purchase overseas assets, and greater inbound investment from qualified foreign investors.
Market Abuse
Hong Kong: CMBC Capital, Directors Penalised for Late Disclosure
By Editors | 18/10/2020
CMBC Capital did not make information about significant improvement in the company’s financial performance public in a timely manner.
Market Abuse
ASIC Bans Former Fixed Income Broker for Ten Years
By Editors | 05/10/2020
The ex-broker charged unpermitted spreads and traded at prices other than the agreed independent valuation on transactions entered on behalf of referred clients.
Market Abuse
US Authorities Settle JP Morgan Spoofing Charges for $920m
By Editors | 01/10/2020
The settlement will fully resolve investigations carried out by the DOJ, CFTC and SEC into trades made over nearly ten years.
Market Abuse
Two Ex-Deutsche Traders Convicted in Spoofing Case
By Sanday Chongo Kabange | 29/09/2020
The two former traders were found guilty of fraud charges for their respective roles in manipulating gold and silver futures prices.
Market Abuse
Sri Lanka SEC to Procure New Surveillance System
By Duruthu E Chandrasekera | 24/09/2020
The SEC is planning to hire a consultant to assess its existing surveillance system and make recommendations on procuring a new system.
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