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

    SEBI Imposes New Obligations on AMCs to Address Market Abuse

    By Ajoy K Das | 07/08/2024

    Fund managers are required to put in place a whistleblower mechanism and enhance their surveillance systems, internal controls and procedures.

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    Market Abuse

    Evergrande Seeking to Recover $6bn from Former Executives

    By Manesh Samtani | 06/08/2024

    The lawsuit, which includes founder Hui Ka Yan as a defendant, was filed in March but only now revealed after a confidentiality order was lifted.

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    Market Abuse

    CSRC Replaces Vice Chairman with Enforcement Chief

    By Editors | 02/08/2024

    According to reports, the change underscores a determination to clean up and tighten oversight of China’s stock market.

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    Market Abuse

    SEBI Proposes to Widen Scope of Insider Trading Regulations

    By Ajoy K Das | 02/08/2024

    SEBI proposes a wider definition of ‘connected person’ and to change ‘immediate relative’ to ‘relative’ to capture more individuals.

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    Market Abuse

    Prominent Short Seller Andrew Left Charged for Securities Fraud

    By Editors | 31/07/2024

    The DOJ and SEC said Andrew Left used social media and TV appearances to promote his trades, manipulate the market, and “make fast, easy money”.

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    Market Abuse

    UK Supreme Court Agrees to Hear LIBOR Rigging Appeals

    By Manesh Samtani | 31/07/2024

    Former traders Tom Hayes and Carlo Palombo allowed to appeal convictions for interest rate rigging at the UK’s highest court.

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    Market Abuse

    Six US Banks Agree to Settle Antitrust Litigation for $80m

    By Editors | 31/07/2024

    The banks allegedly colluded to bid up bond prices at auction and then sell those bonds at inflated prices to pension funds and other investors.

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    Market Abuse

    Ex-CITIC Banker Ordered to Disgorge Insider Dealing Profits

    By Sanday Chongo Kabange | 31/07/2024

    Hong Kong’s Market Misconduct Tribunal also banned the former executive deputy general manager from certain activities for three years.

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    Market Abuse

    Bursa Malaysia Reprimands, Fines Former Kenanga Broker

    By Ranamita Chakraborty | 30/07/2024

    The former dealer’s representative at Kenanga Investment Bank engaged in manipulative trading practices involving 11 stocks over six months.

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    Market Abuse

    ASIC Launching Dedicated Criminal Investigation Team

    By Editors | 30/07/2024

    The team will help speed up insider trading investigations and increase the number of cases that are referred for prosecution.

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