Market Abuse

AI Risk & Governance

Tokyo Exchange to Deploy Machine Learning, AI Surveillance

By Samuel Riding | 01/03/2017

Exchange will deploy NEC machine learning, Hitachi AI technology.

Market Abuse

SEBI Auditing 15 Brokers

By Samuel Riding | 01/03/2017

Investigations continue into allegations of unfair access to NSE for high-frequency traders.

Market Abuse

CSRC Issues Stock Connect Warning

By Samuel Riding | 28/02/2017

Regulator flags 20 incidences of market manipulation, other malpractice.

Market Abuse

CSRC Fines P2P ‘Hyper’ $500mn

By Samuel Riding | 27/02/2017

Company chairman misrepresented firm as P2P business despite no involvement in sector.

Market Abuse

Pakistan to Develop Guidance on Bank Insider Trading

By Samuel Riding | 24/02/2017

Regulator files criminal charges against senior banker; continues to hunt fugitive brokers.

Market Abuse

SGX Sets out ‘False Market’ Criteria

By Samuel Riding | 23/02/2017

Chief regulatory officer says exchange will consider five factors when deciding offences.

Market Abuse

SEBI Eyes Action Against Spot Market Brokers

By Samuel Riding | 22/02/2017

Five firms said to be involved in exchange being unable to repay investors,

Supervision & Enforcement

Enforcement Roundup – Australia, Hong Kong and Malaysia

By Samuel Riding | 21/02/2017

Malaysia revokes licenses for manipulative trading activities; HK offender ordered to pay regulator’s costs.

Market Abuse

Indonesia Exchange Seeks to Ward off ‘Marking the Close’

By Samuel Riding | 13/02/2017

IDX could follow Malaysia, Singapore, HK exchanges in opening up pre-closing trade to scrutiny.