Market Abuse

Market Abuse

ASIC – No Plans for Research Unbundling

By Editors | 06/07/2017

Regulator issues consultation on conflicts of interest, non-public information in sell-side research.

Market Abuse

HK SFC, CSRC to Boost Stock Connect Supervision

By Editors | 03/07/2017

Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.

Market Abuse

Enforcement – ‘Market Manipulation’ in Australia and China

By Editors | 28/06/2017

ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.

Market Abuse

HK SFC to Review Short-selling Rules

By Editors | 27/06/2017

Top financial services and treasury official says eyeing market activity, global regulatory developments.

Supervision & Enforcement

Prohibition Orders in Singapore: An Introduction

By Eric Chan | 22/06/2017

POs are increasingly being used to ensure integrity in Singapore’s financial services industry.

Market Abuse

CSRC Eyes Education to Halt Market Malpractice

By Editors | 19/06/2017

CSRC (the China Securities Regulatory Commission) kicked off the second phase of its campaign to educate investors about market malpractice. […]

Conduct, Culture & Accountability

IOSCO Updates Advice on Wholesale Market Misconduct

By Editors | 15/06/2017

IOSCO (the International Organization of Securities Commissions) issued a report on tackling misconduct in wholesale financial markets, citing infamous incidents […]

Market Abuse

Indian Market Manipulation Cases Surge to Record High

By Editors | 07/06/2017

SEBI (Securities and Exchange Board of India) inquiries into possible market manipulation hit a record high of 174 in the […]

Market Abuse

ASIC FX Probe Nears End with Macquarie Undertaking

By Samuel Riding | 22/05/2017

Macquarie follows Big 4 lenders in promising to fix and monitor conduct by forex traders.