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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
HK Court Confirms SFC Authority in Insider Trading Conducted Overseas
By Samuel Riding | 13/11/2017
Court also rules a person’s lack of awareness they are trading on inside information doesn’t mean they don’t have to pay back illicit gains.
Market Abuse
Korea Introduces ‘Sarbanes Oxley’ in Response to Accounting Scandals
By Samuel Riding | 02/11/2017
Move is part of President Moon Jae-in’s Chaebol clean-up campaign, follows proposal to make agencies liable for ‘defective ratings’.
Supervision & Enforcement
ASIC to Seek 10-year Sentences for Corporate Criminals
By Editors | 25/10/2017
Securities regulator says current maximum punishments are not sufficient as they don’t wipe out gains made from illicit activity.
AI Risk & Governance
The Growing Human Limitations of Financial AI
By Peter Guy | 16/10/2017
Artificial intelligence might not harm humans, but humans can go to jail for the actions of bad robots.
Structural Regulation
India Releases Draft Rules for Electronic Trading Platforms
By Editors | 16/10/2017
Move comes as National Stock Exchange bids to end case of alleged unfair access via its co-location facility by offering to pay fine.
Market Abuse
Hong Kong-China to Share Stock Connect Broker, Trader Names
By Editors | 11/10/2017
SFC chief says move will enhance market transparency and surveillance, and improve efficiency in cracking down on malpractice.
Market Abuse
Shanghai Futures Exchange Flags Abnormal Market Behaviours
By Editors | 18/09/2017
More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.
Market Abuse
SEBI Bars 19 Firms for Depository Receipt Market Manipulation
By Editors | 07/09/2017
Regulator says violations could make investors ‘lose faith in the Indian securities market and even good companies will find it extremely difficult to raise capital’.
Market Abuse
Japan SESC Reveals Rise in Market Misconduct
By Samuel Riding | 30/08/2017
Misconduct cases up 66%; regulator cites blockchain and cloud computing as hindrance to monitoring efforts, eyes regtech solutions.
Market Abuse
Korea Toughens Short-selling Rules
By Samuel Riding | 28/08/2017
Measures are expected to sharply increase incidences of excessive short selling; new categories of offence come with heavier maximum penalty.
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