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

    Morgan Stanley Under Scrutiny in Korea for Stock Sale

    By Editors | 23/09/2024

    Morgan Stanley’s Seoul branch reportedly sold 1m SK Hynix shares two days before releasing research on the company.

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    Market Abuse

    SC Malaysia Charges Former CIMB Banker for Securities Fraud

    By Nithya Subramanian | 21/09/2024

    The former banker allegedly defrauded seven investors of MRW 201,000 and carried out unlicensed fund management activities.

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    Market Abuse

    US SEC Fines Macquarie Unit $80m for Overvalued CMOs

    By Nithya Subramanian | 20/09/2024

    The Macquarie unit overvalued odd lot CMO positions and then executed cross trades to push the resulting losses to retail funds.

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    Market Abuse

    US DOJ Probing Whether Banks Colluded During Archegos Wind-down

    By Nithya Subramanian | 19/09/2024

    The Justice Department is reportedly investigating whether some Wall Street banks coordinated stock sales during the Archegos collapse.

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    Trading & Investment

    SEBI Dismisses Co-location Case Against NSE and Executives

    By Ajoy K Das | 18/09/2024

    SEBI had directed NSE to disgorge billions of dollars in 2019, but the Securities Appellate Tribunal ordered the case to be re-adjudicated.

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    Anti-Money Laundering

    India’s Adani Group Defends Against Allegations of Swiss Probe

    By Ajoy K Das | 17/09/2024

    Hindenburg Research says $310mn of Adani Group’s funds have been frozen in Switzerland in connection with a money laundering probe.

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    Anti-Money Laundering

    Swedish Court Sentences Former Swedbank CEO to Jail Term

    By Nithya Subramanian | 13/09/2024

    Birgitte Bonnesen was sentenced to 15 months in prison for providing misleading information about Swedbank’s money laundering issues in Estonia.

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    Market Abuse

    HKEX Offers New Guidance on Preventing Self-Matched Trades

    By Sanday Chongo Kabange | 12/09/2024

    The guidance aims to help firms mitigate the risk of self-trades by different trading units that might be susceptible to inappropriate trading behaviour.

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    Supervision & Enforcement

    ASIC Report Highlights Hardship Misconduct as Key Focus

    By Thisanka Siripala | 12/09/2024

    ASIC said it is actively conducting investigations into suspected breaches by lenders of their financial hardship obligations.

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    Market Abuse

    SEBI Rescinds Restrictions Imposed in Infosys Insider Trading Case

    By Ajoy K Das | 11/09/2024

    Restrictions imposed on 16 entities were lifted after SEBI found insufficient evidence to sustain the insider trading allegations.

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