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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
Nasdaq Wins Best Solution Awards for Market and Trade Surveillance
By Editors | 14/11/2023
Nasdaq Market Surveillance was recognised for its real-time, cross-market, cross-asset surveillance technology, which is used by over 65 marketplaces and regulators globally
Trading & Investment
Korea Considers Extending Short Selling Ban to Market Makers
By Editors | 13/11/2023
The FSC will first carefully examine the impacts such a move would have on investor protection and market development.
Anti-Bribery & Corruption
Former China Citic Bank President Gets Suspended Death Sentence
By Editors | 13/11/2023
A former China Merchants Bank president also pleaded guilty to bribery charges last week, and a new probe was launched into a former ICBC vice president.
Market Abuse
CSRC Probes Singapore Unit of Chinese PE Firm Hillhouse Capital
By Editors | 13/11/2023
The CSRC is investigating whether HHLR Management violated share transfer rules by disposing of shares in LONGi Green Energy Technology.
Structural Regulation
China Regulators Have Upbeat Message for Market Participants
By Editors | 09/11/2023
China will continue opening up its markets and supporting vulnerable parts of the economy. Two new foreign-funded insurance brokerage companies were approved this week.
Market Abuse
Korea Reimposes Short Selling Ban to Combat Unfair Trades
By Manesh Samtani | 06/11/2023
The government will ban short selling until end June 2024 and work on improving the short selling system, said FSC chairman Kim Joo-hyun.
Market Abuse
FSS Korea Asks Prosecutors to Charge Kakao for Market Manipulation
By Sanday Chongo Kabange | 01/11/2023
The FSS has sent recommendations to prosecutors asking them to charge Kakao, Kakao Entertainment and several top executives.
Market Abuse
Korea FSS to Probe Illegal Short-selling by Foreign Investment Banks
By Manesh Samtani | 31/10/2023
A special team will launch next week to investigate whether more global investment banks engaged in illegal short-selling, and whether local securities firms helped them.
Market Abuse
India Proposes Incentives for Reporting of Cartel Conduct
By Ajoy K Das | 26/10/2023
The amendments aim to incentivise cartels under investigation to provide information on other cartels.
AI Risk & Governance
AI-based SupTech Can Improve Market Integrity: Study
By Manesh Samtani | 25/10/2023
The study highlights the benefits of using AI-based SupTech to improve market integrity, detect misconduct and forecast crises.
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