Market Abuse

Market Abuse

Korea Regulator Warns on Audit Leaks

By Samuel Riding | 02/02/2017

Move aims to curb illegally obtained audit info during accounting and settlement period.

Market Abuse

Vietnam Eyes New Disclosure Rules for Bank Shareholders

By Samuel Riding | 27/01/2017

SBV governor said the proposal aims to keep banks under control, restore confidence.

Supervision & Enforcement

BNM Fines Institution $315,000 for Failing to Report Misconduct

By Samuel Riding | 25/01/2017

Central bank says institution failed to report misconduct found during an audit, has been ‘strongly censured’.

Market Abuse

India to Tighten P-Note Regulation

By Samuel Riding | 24/01/2017

SEBI chairman cites concerns about tax evasion, stock price manipulation.

Market Abuse

Chinese Hedge Fund Manager Jailed for 5 Years

By Samuel Riding | 24/01/2017

Xu Xiang said to have manipulated stocks, traded on inside information.

KYC & CDD

HK SFC Eyes ‘Unusual Volatility’ on GEM

By Samuel Riding | 23/01/2017

New guidelines aim to address ‘unusual high volatility’ on listed GEM securities.

Trading & Investment

Korea Derivatives Market ‘Mortally Wounded’ by Regulation

By Samuel Riding | 20/01/2017

Formerly the largest market, Korea derivatives trade fell 63% in five years.

Market Abuse

Ex HSBC, Deutsche Traders Guilty of Deception

By Samuel Riding | 19/01/2017

Investigation finds traders failed to disclose beneficial ownership, illegally profited from trades.

Market Abuse

HK SFC Sues StanChart, UBS for IPO ‘Misconduct’

By Samuel Riding | 18/01/2017

Case relates to timber company now in liquidation, delisting due to accounting irregularities.