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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Data Privacy
IOSCO Members, ESMA Can Exchange Information Post-GDPR
By Editors | 15/02/2019
A decision by the European Data Protection Board will enable the continued sharing of information between ESMA and securities regulators outside the EU, in compliance with GDPR.
Market Abuse
Sydney Deutsche Bank Trader Convicted for Falsifying Trades
By Editors | 13/02/2019
A former FX options and futures trader has received a 2-year suspended sentence for falsifying entries in Deutsche Bank’s internal records.
Market Abuse
SEBI Directs Exchanges to Check Volatile Stocks for Manipulation
By Editors | 07/02/2019
SEBI has asked the BSE and NSE to boost intra-day surveillance to check unusually volatile stocks for possible manipulation.
Market Abuse
Vietnam’s SSC to Beef up Handling of Stock Market Violations
By Editors | 25/01/2019
The SSC is coordinating with Vietnam’s Ministry of Public Securities to ensure violators face criminal charges in addition to the existing administrative sanctioning regime.
Market Abuse
S. Korean Regulator Fines Four Global Banks for Rigging FX Derivatives
By Editors | 22/01/2019
South Korea’s Fair Trade Commission has fined JP Morgan, HSBC, Deutsche Bank and StanChart a combined $613,000 for rigging forex derivative prices.
Supervision & Enforcement
ASIC Officials Fear Excessive Focus on Litigation – Report
By Editors | 21/01/2019
While ASIC officials talk up plans to fund more court cases, behind the scenes they are reportedly concerned about the community backlash and loss of confidence if cases are lost.
Market Abuse
FMSB Issues Good Practices for Suspicious Transaction, Order Reporting
By Editors | 15/01/2019
The FICC Markets Standards Board has published the final version of its Statement of Good Practice on suspicious transaction and order reporting.
Market Abuse
China Securities Regulator Breaks Record with 2018 Penalties
By Editors | 08/01/2019
The CSRC imposed fines of over $1.55bn in 2018, with the largest number of cases relating to insider trading, illegal disclosures and market manipulation.
Market Abuse
SEBI to Upgrade Market Surveillance System and Data Warehouse
By Editors | 04/01/2019
India’s securities regulator is looking to beef up its IT infrastructure for market surveillance and trade data analysis to improve detection of market violations.
Market Abuse
Hong Kong Asset Manager Fined for Wash Trading
By Editors | 28/12/2018
The asset management firm was both the buyer and seller in a transaction between two of its brokers, which the SFC deemed was a wash trade.
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