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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Structural Regulation
FSC Korea to Ease Major Shareholder Notification Rule
By Editors | 06/09/2019
Institutional investors will be exempt from disclosing major shareholding changes when exercising their rights to remove law-breaking executives or to push for improved governance.
Market Abuse
Tokyo Bourse Penalises Nomura for Information Leak
By Editors | 30/08/2019
The TSE says internal controls at Nomura Securities were insufficient, and measures it took after a similar incident in 2012 did not seem to have improved compliance.
Market Abuse
SEBI Targets Insider Trading with Informant Reward Mechanism
By Editors | 22/08/2019
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
Market Abuse
CSRC Fines Four Individuals for Spreading False News
By Editors | 22/08/2019
The individuals, including a news editor, were fined for spreading ‘fabricated’ news that the CSRC blames for stock market declines in late January.
Supervision & Enforcement
SFC, ICAC Formalise Cooperation Arrangement with MoU
By Editors | 20/08/2019
The MoU covers case referrals, joint investigations, the exchange and use of information, mutual provision of investigative assistance, and capacity building.
Anti-Money Laundering
Malaysia Files Criminal Charges Against 17 Goldman Directors
By Editors | 12/08/2019
The current and former directors each face 1MDB-related charges carrying a maximum 10-year jail term and a minimum penalty of 1 million ringgit.
Market Abuse
Singapore Brokers Directed to Enhance Trade Surveillance Systems
By Manesh Samtani | 08/08/2019
MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
Market Abuse
CSRC Imposes $56mn Penalty on Individual for Insider Trading
By Editors | 08/08/2019
The individual learned of a gaming company’s acquisition plans months in advance and used 14 stock accounts set up by acquaintances to profit from the information.
Market Abuse
MAS Targets Market Abuse with Proposed New Requirements
By Editors | 06/08/2019
Capital market licensees will have to record all client communications and capture their mobile device IDs. Foreign intermediaries will have to provide UBO information on request.
Market Abuse
Thailand SEC to Incorporate AI in Price Manipulation Probes
By Editors | 02/08/2019
Existing investigation and fact-finding procedures currently take 1.5 years before civil sanctions or penalties are imposed.
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