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Market Abuse
News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
ASIC Fines JP Morgan Unit for Failure to Detect Suspicious Trades
By Sanday Chongo Kabange | 09/05/2024
The case highlights that market participants “cannot solely rely on automated trade monitoring systems” to detect potential misconduct.
Market Abuse
Korea’s Naked Short Selling Probe Has Reached 14 Banks
By Editors | 07/05/2024
Two banks already face penalties. The FSS will review penalties for seven others. Five more are still being probed.
Market Abuse
Korea FSS Set to Issue Interim Findings from Short Selling Probe
By Sanday Chongo Kabange | 05/05/2024
Ten global investment banks including Nomura and Credit Suisse are expected to face fines totalling more than $73.7mn.
Trading & Investment
Indonesia OJK Issues New Short Selling Regulations
By Editors | 03/05/2024
OJK said the regulations will ensure robust risk management and regulatory compliance by securities companies.
Market Abuse
JPMorgan to Pay Penalty to 3rd Regulator in Surveillance Case
By Nithya Subramanian | 03/05/2024
Following fines from the OCC and Fed announced in March, JPM said it has to pay $100m to a third regulator, identified in reports as the CFTC.
Market Abuse
SFC Starts Insider Dealing Prosecution Against Hedge Fund
By Sanday Chongo Kabange | 03/05/2024
The SFC is prosecuting Segantii Capital Management, its founder Simon Sadler, and former trader Daniel La Rocca for insider dealing.
Market Abuse
SEBI Approves Stricter Rules to Target Front-running in AMCs
By Ajoy K Das | 01/05/2024
AMCs must establish a “structured” institutional mechanism to identify and monitor for front running, insider trading, and misuse of sensitive information.
Market Abuse
Korea Reveals Details on Naked Short Selling Detection System
By Manesh Samtani | 27/04/2024
Korea’s short-selling ban is unlikely to be lifted until after the new system is established, which is expected to take at least a year.
Market Abuse
Hong Kong Court Convicts Two Former Brokers for False Trading
By Editors | 25/04/2024
Former representatives of KGI Asia Limited and South China Securities Limited will be sentenced on 16 May 2024.
Structural Regulation
SEBI Finds Violations by Offshore Funds Invested in Adani Group
By Ajoy K Das | 24/04/2024
12 offshore funds violated disclosure rules and breached investment limits. Eight of these funds are trying to settle with SEBI.
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