Market Abuse

Market Abuse

HK Retail Trader Convicted of Fraud Involving Naked Short Selling

By Sanday Chongo Kabange | 28/02/2024

This is the first criminal conviction in Hong Kong for securities fraud involving illegal short selling.

Market Abuse

SFC Launches Proceedings Against Ex-Chairman of Ding Yi Feng

By Sanday Chongo Kabange | 27/02/2024

The SFC is seeking orders requiring the former chairman and 20 others to compensate investors for losses suffered as a result of a 2018 price manipulation scheme.

Market Abuse

Vietnam Police Recommend Prosecution of HoSE, SSC Officials

By Mark Johnston | 27/02/2024

A total of 51 suspects including officials are accused of market manipulation, fraud, abuse of power, and dissemination of false information.

Market Abuse

CSRC Vows to Crack Down on Listed Company Misconduct

By Mark Johnston | 26/02/2024

The CSRC warns of harsh penalties for fraudulent listings, accounting scams, misuse of funds, insider trading, and market manipulation.

Conduct, Culture & Accountability

US SEC Adopts Amendments to Strengthen Ethics Rules

By Mark Johnston | 24/02/2024

The SEC has adopted amendments banning employees from investing in financial sector funds and enabling automated compliance monitoring.

Trading & Investment

Regulatory Measures Not Aimed at Restricting Selling: CSRC

By Manesh Samtani | 23/02/2024

The CSRC said investors’ rights to trade fairly and freely will be protected, but that it would continue to crack down on abnormal trading and illegal activities.

Trading & Investment

Chinese Stock Exchanges Ramp Up Scrutiny of Quant Funds

By Mark Johnston | 22/02/2024

A new monitoring scheme and reporting requirements have been introduced for computer-driven quant funds.

Trading & Investment

China: Firms Told to Not Be Net Sellers at Market Open and Close

By Manesh Samtani | 22/02/2024

Some asset managers and prop trading desks of brokerages are prohibited from being net sellers during the first and last 30 minutes of trading.

Structural Regulation

CSRC Solicits Suggestions on Improving Capital Market

By Editors | 20/02/2024

Market participants have called for strict control over IPO access and stronger supervision of listed companies.