Market Abuse

Market Abuse

ICAI to Collaborate with SEBI to Tackle Financial Fraud

By Nithya Subramanian | 08/05/2025

The ICAI will prepare a research paper aimed at strengthening the regulator’s ability to detect and prevent financial frauds.

Trading & Investment

ASIC Imposes Additional Licence Conditions on Macquarie

By Sanday Chongo Kabange | 07/05/2025

ASIC cited failures in Macquarie Bank’s futures dealing business and OTC derivatives trade reporting functions.

Market Abuse

SEBI Imposes Trading Ban on Patel Wealth Advisors Over Spoofing

By Nithya Subramanian | 01/05/2025

Interim order restrains Patel Wealth Advisors and its directors from accessing the securities market, citing systematic spoofing practices that generated unlawful gains.

Market Abuse

FSS Korea Probes Illegal Short Selling by Smaller Investment Firms

By Nithya Subramanian | 01/05/2025

The FSS is looking into illegal short selling practices by smaller domestic and foreign firms that occurred before the November 2023 ban.

Market Abuse

FSS, KRX Ramp Up Focus on Stock Manipulation Ahead of Election

By Thisanka Siripala | 25/04/2025

The FSS will refocus efforts on politically-themed stocks to prevent market manipulation ahead of the June presidential election.

Trading & Investment

SET to Launch ‘Auto Pause’ Mechanism to Safeguard Market

By Nithya Subramanian | 25/04/2025

The new Auto Pause mechanism, starting 6 May, will temporarily halt trading in individual securities experiencing abnormal order volumes.

Market Abuse

JSDA Proposes Rule Changes to Enhance Insider Trading Controls

By Thisanka Siripala | 24/04/2025

The proposed changes would require firms to match customer data against a new database four times a year from May 2026.

Market Abuse

US to Investigate Pre-2019 Market Manipulation in Sri Lanka

By Thisanka Siripala | 24/04/2025

US authorities will reportedly pursue prominent Sri Lankan businessmen for an alleged pump-and-dump scheme that defrauded US investors.

Fraud, Scams & Cybercrime

Korea FSC Refers Executives of PE Firm MBK Partners for Prosecution

By Thisanka Siripala | 23/04/2025

Regulators allege that MBK Partners issued short-term bonds for an affiliate without disclosing that the company was preparing for corporate rehabilitation.