Market Abuse

    News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.

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    Market Abuse

    US SEC Settles Charges with Associate of Short Seller Andrew Left

    By Mark Johnston | 24/10/2024

    The SEC said Ryan Choi misled investors in two tweets and profited from trades in two companies without properly disclosing his trading activity.

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    Market Abuse

    Japan: TSE Official & Judge Under Separate Insider Trading Probes

    By Manesh Samtani | 24/10/2024

    A TSE official leaked information to his relative multiple times. The judge engaged in insider trading while on temporary assignment at the FSA.

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    Market Abuse

    SEBI Extends Insider Trading Regulations to Mutual Funds

    By Nithya Subramanian | 24/10/2024

    Starting next month, AMCs must disclose the details of the designated persons, trustees and immediate relatives, as well as their holdings.

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    Market Abuse

    SFC Opens Insider Trading Case Involving 2020 PayPal Acquisition

    By Sanday Chongo Kabange | 17/10/2024

    The SFC is pursuing the chairman of a HK-listed company that held shares in PayPal’s acquisition target.

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    Market Abuse

    CFTC Fines Singapore’s Olam Group for Late Reporting of Cotton Sales

    By Nithya Subramanian | 30/09/2024

    The CFTC said Olam’s failure to promptly report the sales resulted in the publication of inaccurate and misleading information by the USDA.

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    Supervision & Enforcement

    US SEC Fines 13 Firms, 10 Individuals for Delaying Stock Disclosures

    By Nithya Subramanian | 30/09/2024

    Goldman Sachs, Oaktree Capital, Bank of Nova Scotia and Alphabet Inc were among those fined for failing to provide timely information on stock holdings and transactions.

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    Market Abuse

    Japan to Penalise Nomura Securities for JGB Futures Manipulation

    By Editors | 30/09/2024

    In the aftermath of a penalty recommendation from the SESC, at least four companies have removed Nomura Securities from their lists of bond managers.

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    Market Abuse

    ASIC Fines Macquarie for ‘Serious’ Gatekeeper Failure

    By Sanday Chongo Kabange | 26/09/2024

    Macquarie was fined for failing to act promptly and appropriately to prevent manipulation in the electricity futures market.

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    Market Abuse

    MAS Imposes Five-Year Ban on Former Nech Capital Trader

    By Mark Johnston | 25/09/2024

    The former trader executed trades between Nech Capital’s accounts and those of his relatives, causing losses to his employer.

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    Market Abuse

    JSDA Fines MUFG Units for Sharing Client Information

    By Editors | 23/09/2024

    Mitsubishi UFJ Bank and two affiliated securities firms were fined for sharing non-public information without permission.

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