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 Extends Ban on JM Financial to One Year

    By Ajoy K Das | 21/06/2024

    SEBI initially barred JM Financial in March from acting as lead manager for any new public issue of debt for 60 days. The ban is extended until 31 March 2025.

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    Market Abuse

    CFTC Settles Charges Against Trafigura for $55m

    By Manesh Samtani | 18/06/2024

    This is the first time the CFTC has taken action against a firm for impeding whistleblower communications, a move being criticised by two commissioners.

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    Trading & Investment

    FSC Korea Outlines Roadmap for Resuming Short Selling

    By Manesh Samtani | 14/06/2024

    The FSC formally extended the short-selling ban until 30 March 2025 and announced reform measures to prevent naked short-selling.

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    Market Abuse

    Shanghai Chipmaker Barred from Launching IPO for 5yrs

    By Editors | 12/06/2024

    The company, already penalised for inflating its 2020 profits, is now barred from listing its shares for five years.

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    Market Abuse

    SEBI Issues Penalties Framework for MII Surveillance Lapses

    By Ajoy K Das | 10/06/2024

    SEBI will impose penalties for surveillance-related lapses based on annual turnover and the number of lapses during a financial year.

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    Market Abuse

    Japan FSA May Take Action Against MUFG Entities – Report

    By Nithya Subramanian | 07/06/2024

    MUFJ Bank and two affiliated securities firms allegedly shared nonpublic client information without consent.

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    Trading & Investment

    SET Proposes Measures to Curb Inappropriate Trading Behaviours

    By Editors | 03/06/2024

    The measures are aimed at strengthening market supervision and promoting transparency and fairness for all investors, the SET said.

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    Market Abuse

    CSRC Imposes Record Fine on Evergrande’s Flagship Unit

    By Mark Johnston | 01/06/2024

    The CSRC fined Hengda Real Estate $577mn and banned Evergrande’s founder from the securities market for life.

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    Market Abuse

    HK Jury Convicts Three in Landmark Manipulation Case

    By Sanday Chongo Kabange | 30/05/2024

    This was the first time an offence under the SFO has been tried at Hong Kong’s Court of First Instance.

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    Trading & Investment

    Korea Proposes Rule Changes for Convertible Bonds Market

    By Nithya Subramanian | 30/05/2024

    The changes will strengthen disclosure requirements for CB issuance and enhance the rules for refixing convertible prices.

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