Market Abuse

Market Abuse

SEBI Settles Case Against 10 Over TV Stock Recommendations

By Nithya Subramanian | 17/01/2025

Among those that settled were SAAR Securities, along with one of its directors, and two directors of the firm’s commodities unit.

Trading & Investment

KRX Finishes Building Naked Short Selling Detection System

By Editors | 15/01/2025

Connectivity tests have begun with institutional investors. Once these tests are complete, the NSDS will be used on a simulated market.

Market Abuse

MAS Imposes Civil Penalty Action in False Trading Case

By Nithya Subramanian | 14/01/2025

Gui Boon Sui was fined S$350,000 and barred from being involved in the management of a company for two years

Market Abuse

ICAC Charges Ex-SFC Official for Interfering with Investigation

By Sanday Chongo Kabange | 13/01/2025

The former associate director allegedly advised subjects of a market manipulation investigation to destroy potential evidence

Market Abuse

CFTC Settles Lawsuit Against Crypto Exchange Gemini for $5m

By Editors | 08/01/2025

The CFTC’s 2022 lawsuit had accused Gemini of providing inaccurate information about the manipulation risks of a proposed Bitcoin futures product

Market Abuse

Seoul Prosecutors File First Charges Under New Crypto Law

By Manesh Samtani | 07/01/2025

Two individuals were arrested and indicted for manipulating virtual assets. A third individual fled overseas.

Supervision & Enforcement

HK Court Fines Solicitor for Breaching SFO Secrecy Provision

By Editors | 07/01/2025

This is the first time a Hong Kong practicing solicitor has been convicted for contravening the secrecy provision under the SFO.

Market Abuse

PBOC Fines Three FIs for ‘Abnormal’ Bond Trading Behaviour

By Editors | 04/01/2025

Concerns are being raised about the capabilities of small and midsize firms to appropriately manage interest rate risk

Cryptocurrency

Philippine SEC Proposes New Regulatory Framework for Crypto

By Manesh Samtani | 02/01/2025

The rules cover capital requirements, consumer protection, disclosures and marketing, AML compliance, market abuse, and cybersecurity.