Market Abuse

Market Abuse

Chinese Legislature Reviews Securities Law Amendments

By Samuel Riding | 25/04/2017

Proposed changes include greater enforcement, punishment powers for CSRC.

Market Abuse

Ex CSRC Official Fined $73mn

By Samuel Riding | 24/04/2017

Feng Xiaoshu said to have made RMB248mn from illegal trades using family members’ accounts.

Structural Regulation

Pakistan Tightens Brokerage Rules

By Samuel Riding | 24/04/2017

Advisers have 6 months to meet new licensing regulations including capital, audit and accounting, and conduct requirements.

Trading & Investment

Technology, Regulation and the Future of FX Trading

By Peter Guy | 24/04/2017

Regulations and fintech are competing to determine trading’s new frontiers.

Market Abuse

MAS, Singapore Police Seal Spoofing Conviction

By Samuel Riding | 23/03/2017

Former remisier manipulated prices of stocks; traded CFDs on resulting market movements.

Market Abuse

Westpac, ANZ Submit to Forex Trading Supervision

By Samuel Riding | 20/03/2017

Banks will be under third-party supervision as they fix ‘systems, control and monitoring’.

Market Abuse

Japan Regulator Cites Broker for Spoofing

By Samuel Riding | 20/03/2017

Regulator says Virgin-islands registered broker manipulated four stocks.

Market Abuse

Pakistan Escalates Insider Trading Crackdown

By Samuel Riding | 10/03/2017

24 brokers issued ‘show cause’ notices, another 26 in the firing line.

Conduct, Culture & Accountability

Blockchain Can Win the War on Financial Misconduct

By Peter Guy | 06/03/2017

The financial sector still struggles to establish ethical conduct. Fintech offers a solution.