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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
Singapore Trader Sentenced to Jail, Fine for SFA Breach
By Editors | 27/04/2023
The trader would sell the securities to his relatives before buying them back at higher prices using his employer’s accounts.
Market Abuse
SFC Bans Another Ex-Convoy Licensee Over Manipulation Scheme
By Editors | 26/04/2023
Peter Law convinced clients to buy and hold a stock that was being manipulated by collaborators in exchange for a commission.
Market Abuse
CFTC Fines Mizuho Capital Markets for Swaps Conduct Failures
By Editors | 26/04/2023
Mizuho Capital Markets engaged in anticipatory hedges of deal-contingent FX forwards without appropriate disclosure to customers.
Resolution & Recovery
Singapore Retail Investors Underrepresented in Bond Restructuring
By Manesh Samtani | 26/04/2023
The Law Reform Committee of the Singapore Academy of Law proposes reforms to improve Singapore’s framework for bond restructuring.
Market Abuse
Singapore Jails Stock Trader for False Trading Offences
By Editors | 23/04/2023
The trader used 14 trading accounts to create a false appearance of active trading in the market for shares in KTL Global.
Market Abuse
CSRC Investigating GF Securities for Underwriting Failures
By Editors | 21/04/2023
The investigation is related to a 2018 share issuance for which Hong Kong-listed GF Securities served as an underwriter.
Market Abuse
Korea to Prosecute “Malicious Rumours” in Financial Market
By Editors | 19/04/2023
FSC Chairman Kim Joo-hyun instructed the FSS to prosecute those who spread false information after rumours circulated about problems at two unlisted lenders.
Trading & Investment
Two More Chinese Firms List GDRs in Switzerland
By Editors | 19/04/2023
The listings come despite last month’s reports that Chinese regulators had stopped accepting applications from mainland firms seeking to issue GDRs in Switzerland.
Market Abuse
SocGen Agrees to $105m Euribor Rigging Settlement
By Editors | 16/04/2023
If approved by the court, the settlement would mean investors have won USD 651.5 million in Euribor-rigging settlements with seven banks.
Market Abuse
Korean Authorities Investigate Kakao for Market Manipulation
By Editors | 11/04/2023
The FSS is investigating whether Kakao manipulated the stock price of K-pop agency SM Entertainment.
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