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Market Abuse
News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
SFC Suspends Former Yuanta Securities Licensee for 26 Months
By Mark Johnston | 22/11/2024
The former licensee had a secret profit-sharing agreement with a client, failed to disclose personal dealings, and made false representations to the SFC.
Market Abuse
Former Richmond Fed Official Pleads Guilty to Insider Trading
By Mark Johnston | 22/11/2024
The official used confidential information about FIs under Federal Reserve Bank of Richmond supervision to profit from stock trading.
Market Abuse
US Court Sentences Archegos Founder to 18 Years in Jail
By Nithya Subramanian | 21/11/2024
Bill Hwang caused over $100bn in shareholder losses at companies in Archegos’ portfolio and $10bn in losses at banks that lent to the firm.
Anti-Bribery & Corruption
US Authorities Charge Billionaire Gautam Adani for Bribery, Fraud
By Nithya Subramanian | 21/11/2024
The SEC also filed a complaint saying Adani induced US investors to buy $175mn in bonds by misrepresenting an aversion to paying bribes.
Market Abuse
Korea FSS to End Short-Selling Investigation by Year-End
By Nithya Subramanian | 20/11/2024
FSS Governor Lee Bok-hyun told Hong Kong institutional investors that the investigation into illegal short selling will be complete by year-end.
Supervision & Enforcement
ASIC Sets Out Enforcement Priorities for 2025
By Sanday Chongo Kabange | 20/11/2024
ASIC’s enforcement priorities reflect the increased risks consumers are facing that are being driven by cost of living pressures.
Market Abuse
SFC Commences Additional MMT Proceedings in Ding Yi Feng Case
By Sanday Chongo Kabange | 15/11/2024
Proceedings commenced in March involve manipulation that occurred between March and September 2018. The new proceedings involve manipulation from between October 2018 and March 2019.
Market Abuse
Citi, Barclays Facing Penalties in Korea for Illegal Short Selling
By Editors | 12/11/2024
According to local reports, the penalties could reach $14.3mn for Citi and $50mn for Barclays, breaking previous records.
Conduct, Culture & Accountability
Nomura Asked to Probe Attempted Murder Case Involving Ex-Employee
By Editors | 12/11/2024
The FSA has asked Nomura to review the incident and analyse its root cause and background, and come up with solutions.
Market Abuse
Japan FTC Fines Four Non-Life Insurers for Collusion
By Thisanka Siripala | 08/11/2024
The four insurers engaged in price-fixing activities in violation of the Antimonopoly Act, resulting in total penalties of ¥1.95bn, or $13mn.
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