Market Abuse

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

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    Cryptocurrency

    SEC Lawsuit Against Binance May Proceed, Court Rules

    By Manesh Samtani | 03/07/2024

    Binance already settled DOJ, Treasury and CFTC charges for $4.3bn, but the SEC’s case was not included in the settlement.

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    Supervision & Enforcement

    US SEC’s Use of In-house Judges Ruled Unconstitutional

    By Editors | 02/07/2024

    The ruling curbs the SEC’s internal adjudication powers and is expected to also impact more than two dozen US agencies.

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    Market Abuse

    SEBI Offers Flexibility in Trading Plan Norms for Insiders

    By Ajoy K Das | 28/06/2024

    The regulator has reduced the cooling-off period between disclosure and implementation of trading plan from six to four months.

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    Market Abuse

    SFC Bars Former Securities Exec Over Secret Trading Account

    By Sanday Chongo Kabange | 27/06/2024

    The former chief operations officer of DA International Financial Service violated the company’s employee dealing policy.

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    Cryptocurrency

    Korea Approves Enforcement Decree for New Virtual Assets Law

    By Sanday Chongo Kabange | 26/06/2024

    The enforcement decree mandates requirements on the safe storage of virtual assets and regulates unfair trading activities.

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    Market Abuse

    Japan FSA Orders MUFG Units to Correct Control Deficiencies

    By Mark Johnston | 26/06/2024

    The MUFG units breached Japan’s “firewall” regulations by sharing non-public client information without authorisation, the FSA said.

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    Trading & Investment

    Nasdaq Scrutinising IPO Applicants from China, Hong Kong

    By Mark Johnston | 25/06/2024

    Nasdaq officials have reportedly been inquiring into the identities and independence of pre-IPO investors of Chinese and Hong Kong companies seeking to list in the US.

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    Fraud, Scams & Cybercrime

    UAE Extradites Former CEO to Thailand to Face Fraud Charges

    By Editors | 25/06/2024

    The former CEO of Stark Corporation was extradited to Thailand after being on the run for around eight months.

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    Market Abuse

    SEBI Tightens Norms for IPO Price Discovery Process

    By Ajoy K Das | 24/06/2024

    The order entry window of the pre-open call auction session for IPOs will end randomly during the last ten minutes.

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    Market Abuse

    ASIC Fines Ascot Securities for Failure to Detect Suspicious Trades 

    By Editors | 21/06/2024

    Ascot Securities should have suspected a client’s orders were manipulative, ASIC’s Markets Disciplinary Panel said.

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