Market Abuse

Market Abuse

HK SFC Bans Ex-Deutsche Securities Trader

By Samuel Riding | 18/11/2016

Ban follows Korean order to repay $36.95mn of illegal profit from stock index trades.

Market Abuse

Pakistan Warns on Share-price Manipulation

By Samuel Riding | 15/11/2016

Fraudsters using social media, texts and emails to manipulate stock prices, regulator says.

Trading & Investment

Korea Reveals New Short-Selling, Disclosure Rules

By Samuel Riding | 11/11/2016

Regulator aims to prevent market volatility and enhance supervision of possible illegal transactions.

Anti-Money Laundering

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Abuse

SSE Reports Insurance Firm to Securities Commission

By Samuel Riding | 10/11/2016

Exchange says insurer almost exclusively made short-term trades for 10 months.

Market Abuse

Information Leaks, Insider Info Declining – ASIC

By Samuel Riding | 07/11/2016

Report reminds firms to review sell-side, corporate advisory regulatory requirements.

Market Abuse

China Warns of Market Manipulation via Stock Connect

By Samuel Riding | 07/11/2016

CSRC holds joint training session with Hong Kong regulator, issues warning statement.

Market Abuse

Former UOB Rep Banned Over $6.48mn Trading Loss

By Samuel Riding | 03/11/2016

Former representative said to have breached Code of Conduct; banned for 10 years.

Market Abuse

SEBI ‘Reconsidering’ Record Fine

By Samuel Riding | 02/11/2016

Tribunal asks regulator to ‘set aside’ fine of USD1bn for illegal investment fund raising.