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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Fraud, Scams & Cybercrime
HK Court Orders Investment Company to Compensate Clients
By Editors | 25/11/2022
The investment firm sold clients’ securities without authorisation, misappropriated the proceeds, and fabricated documents to conceal the transactions.
Market Abuse
Korea Prosecutors Seize $104m from Terra Co-founder
By Editors | 23/11/2022
Prosecutors seized and froze USD 104.4 million in assets belonging to Daniel Shin, representing profits from the sale of pre-issued LUNA tokens to investors.
Anti-Money Laundering
ComplianceAsia Awarded Compliance Service Provider of the Year
By Editors | 22/11/2022
ComplianceAsia, which was awarded compliance service provider of the year at Regulation Asia’s 5th annual awards ceremony.
Market Abuse
Eventus Awarded Best Solution for Crypto Market Surveillance Platform
By Editors | 22/11/2022
Eventus, was awarded best solution for virtual assets market & trade surveillance at Regulation Asia’s 5th annual awards ceremony.
Market Abuse
Bursa Malaysia Punishes Two for Short-Selling Activities
By Editors | 22/11/2022
The two dealer’s representatives engaged in intra day short-selling activities in client accounts in 2020 when such activity was temporarily prohibited.
Market Abuse
Singapore Charges Former Hyflux Execs for Disclosure Failures
By Editors | 18/11/2022
A joint investigation by the CAD, MAS and ACRA found lapses in Hyflux’s disclosures and non-compliance with accounting standards.
Market Abuse
SFC, ICAC Arrest Eight Over Ramp-and-Dump Schemes
By Editors | 11/11/2022
Combating social media ramp-and-dump schemes remains one of the top enforcement priorities of the SFC, says executive director of enforcement, Christopher Wilson.
Market Abuse
Singapore High Court Considers 40 Year Jail Term for Manipulator
By Editors | 07/11/2022
Prosecutors are reportedly asking the court to impose a 40-year jail sentence on John Soh Chee Wen, the mastermind of the 2013 penny stock crash.
Cryptocurrency
Korea Prepares Stop-Gap Legislation to Protect Crypto Investors
By Editors | 01/11/2022
The proposed legislation will empower the FSC to punish unfair trading in virtual assets the same way it does in the stock market.
Market Abuse
New York Court Dismisses Tom Hayes LIBOR Rigging Case
By Editors | 01/11/2022
US prosecutors had filed a motion to dismiss the case after two other traders were acquitted in January. Hayes is still trying to get his UK conviction overturned.
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