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

    US Jury Convicts Mango Markets Trader for Crypto Manipulation

    By Nithya Subramanian | 23/04/2024

    Avraham Eisenberg was found guilty in the first US prosecution involving the manipulation of cryptocurrency through open-market trades.

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    Market Abuse

    SET Board Approves Measures to Boost Market Confidence

    By Sanday Chongo Kabange | 17/04/2024

    HFT firms will have to register with the SET and securities firms will have to implement controls to prevent naked short selling.

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    AI Risk & Governance

    CFTC Subcommittee to Advance Work on AI Regulation

    By Manesh Samtani | 12/04/2024

    MRAC subcommittee will initially focus on obtaining a better understanding of how CFTC registrants are using AI to conduct regulated activities.

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    Market Abuse

    Japan SESC Seeks Penalty for HFT Firm Quadeye

    By Editors | 04/04/2024

    The SESC said Quadeye used “fraudulent means” to engage in high speed trading in TSE-listed stocks.

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    Cryptocurrency

    Korea Sets Out Procedures for Dealing with ‘Unfair’ Crypto Trades

    By Editors | 31/03/2024

    The proposed operating rules will come into force from 19 July, when the new Virtual Asset User Protection Act also takes effect.

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    Market Abuse

    UK Court Dismisses Appeals Against Rate Rigging Convictions

    By Editors | 30/03/2024

    Two former bankers including Tom Hayes had their appeals rejected in the UK, despite the Hayes case being dismissed in the US in 2022.

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    Market Abuse

    SFC Refers Ding Yi Feng Case to Misconduct Tribunal

    By Sanday Chongo Kabange | 29/03/2024

    The new proceedings are in addition to separate court action that seeks to restore counterparties affected by alleged manipulation of Ding Yi Feng shares.

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    Market Abuse

    SEBI Confirms Market Ban for LIC Employee in Front-running Case

    By Ajoy K Das | 21/03/2024

    An employee of Life Insurance Corporation of India as well as his family members and two family legal entities were banned from the securities market.

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    Market Abuse

    HK Court Jails Retail Trader for Fraud Involving Naked Short Selling

    By Sanday Chongo Kabange | 21/03/2024

    In the first case of securities fraud involving illegal short selling in Hong Kong, a retail trader was sentenced to 18 months imprisonment.

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    Market Abuse

    S. Korea Sees First Securities Class Action Related to an IPO

    By Editors | 20/03/2024

    The class action is against semiconductor company FADU and its underwriters, NH Investment & Securities and Korea Investment & Securities.

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