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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Fraud, Scams & Cybercrime
Wirecard Trial Begins With Defendants Blaming Each Other
By Mark Johnston | 14/12/2022
Former CEO Markus Braun and his co-defendants face up to 15 years in jail, though a verdict is not expected until at least 2024.
Market Abuse
US Court Convicts Another JPM Trader on Spoofing Charges
By Editors | 13/12/2022
Former precious metals trader faces up to 30 years in prison for placing deceptive orders intended in COMEX gold and silver futures.
Market Abuse
EU Commission Accuses Two Banks of Cartel Conduct
By Editors | 12/12/2022
Deutsche Bank and Rabobank traders allegedly exchanged commercially sensitive information and coordinated pricing and trading strategies on government bonds.
Market Abuse
Nasdaq Wins Best Solution in Market & Trade Surveillance
By Editors | 12/12/2022
Nasdaq was awarded best solution in market & trade surveillance at Regulation Asia’s 5th annual awards ceremony.
Market Abuse
FCA Fines Interdealer Brokers Over Inadequate Trade Surveillance
By Editors | 12/12/2022
Between July 2016 and January 2018, BGC Brokers, GFI Brokers and GFI Securities had deficient surveillance processes and insufficient asset class coverage.
Market Abuse
FCA to Ban Ex-Mizuho Traders for Manipulating Italian Bond Futures
By Editors | 11/12/2022
The FCA said the three traders repeated a pattern of “deliberate and intentional market manipulation on a number of occasions and were dishonest.”
Market Abuse
US Probes FTX Founder for Suspected Terra Manipulation
By Editors | 09/12/2022
Prosecutors are reportedly looking into whether Sam Bankman-Fried manipulated the prices of TerraUSD and Luna to benefit entities he controlled.
Market Abuse
FSC Korea Unveils Plans to Disclose Names of Rule Breakers
By Editors | 06/12/2022
The FSC said disclosing the names of those who breach short selling rules or create market disturbances will create a deterrence effect and reduce illegal activities in capital markets.
Fraud, Scams & Cybercrime
SEBI Instructs Fund Managers to Monitor Telegram for Name Misuse
By Editors | 05/12/2022
SEBI said some Telegram groups were impersonating mutual fund houses and has instructed AMCs to put in place monitoring to detect such activity.
Fraud, Scams & Cybercrime
Korean Prosecutors Seek More Terra-related Arrest Warrants
By Editors | 01/12/2022
New arrest warrants are sought for co-founder Daniel Shin, as well as Terraform Labs investors and engineers.
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