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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
Shanghai, Shenzhen Bourses Draft Compulsory Delisting Rules
By Editors | 16/03/2018
False, misleading or fraudulent listing, restructuring documents or other disclosures including annual reports will trigger the delisting mechanism.
Market Abuse
CSRC Issues Record $900mn Fine for Market Manipulation
By Samuel Riding | 15/03/2018
Staff at the firm and their associates alleged to have used more than 300 trading accounts to make illicit profits of $150mn.
Market Abuse
MAS, CAD to Jointly Investigate All Capital Markets, Financial Advisory Offences
By Editors | 14/03/2018
MAS and CAD will consolidation investigative resources and expertise for all capital market and financial advisory offences, effective 17 March.
Anti-Money Laundering
CBA Defends Against Regulators’ Allegations
By Manesh Samtani | 01/03/2018
The bank says its employees did not adversely impact the BBSW as ASIC claims, denies AUSTRAC allegations of systemic AML noncompliance.
Supervision & Enforcement
HK SFC Sees Surge in Criminal Prosecutions
By Samuel Riding | 25/02/2018
Criminal charges laid by securities regulator nearly tripled in last nine months of 2018, although investigations started and concluded declined.
Market Abuse
New Zealand Regulator Flags Market Misconduct
By Garima Chitkara | 22/02/2018
Report outlines enforcement actions on market manipulation against Milford Asset Management trader, investigation into trading at Goldman Sachs, other cases of misconduct.
Market Abuse
Australian Sell-side Research Rules Threaten IPO Bonanza
By Bradley Maclean | 19/02/2018
Guidance on sell-side research could disappoint investment bankers who expected a strong year for new listings.
Market Abuse
Interactive Brokers HK Fined for Trading System Failures
By Editors | 15/02/2018
The firm’s electronic trading system repeatedly submitted orders without regard for market liquidity and without effective price and volume controls.
Market Abuse
CBA Becomes 7th Bank Involved in BBSW Manipulation Allegations
By Samuel Riding | 31/01/2018
Securities regulator says bank was involved in unconscionable conduct in dealing with the benchmark rate during 2012.
Market Abuse
HSBC, Australian Trader Involved in Spate of US ‘Spoofing’ Cases
By Samuel Riding | 31/01/2018
HSBC’s US securities operations agree to pay $1.8bn after CFTC allegations it was involved in ‘numerous acts of spoofing’.
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