Market Abuse

Market Abuse

China to Clampdown on Illicit Trading Behaviour

By Samuel Riding | 13/01/2017

Illegal activities including market manipulation and fraud have ‘resurged’ at exchanges.

Market Abuse

SEBI Said to Ask NSE Take Remedial Action on HFT

By Samuel Riding | 11/01/2017

Regulator is also considering possibility of individual fault despite forensic audit conclusions.

Market Abuse

CSRC Confiscations Up 288% in 2016

By Samuel Riding | 06/01/2017

Securities regulator cites ‘unprecedentedly complex’ market environment in China.

Supervision & Enforcement

Malaysia Warns on Reporting Obligations

By Samuel Riding | 28/12/2016

BNM says it has started enforcement action against a financial institution for forex-related misconduct.

Supervision & Enforcement

Hong Kong – 2016 in Review

By Samuel Riding | 22/12/2016

Enforcement the major order of the year for Hong Kong regulators.

Market Abuse

Australia, India Sanction Banks for Forex Violations

By Samuel Riding | 22/12/2016

2 Australian banks to make $3.6mn ‘community benefit’ payments, RBI fines 5 banks total of $844.

Market Abuse

HK SFC Asks Brokerage to Freeze Client Account

By Samuel Riding | 19/12/2016

Regulator says client account is suspected of being involved in market manipulation, account hacking.

Market Abuse

India Seeks to Ban 5 Brokers Over NSEL Scam

By Samuel Riding | 16/12/2016

Court order includes accusations that brokers are not ‘fit and proper’ to act in securities market.

Market Abuse

Thailand Introduces Stiff Penalties for Market Malpractice

By Samuel Riding | 14/12/2016

Offenders could face substantial financial penalties and 10-year bans.