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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
HK Court Orders Founder to Buy Shares from Wronged Investors
By Editors | 07/10/2022
The order is the first made to require a listed company executive to buy shares held by other investors “at a price to be determined by the court”.
Structural Regulation
SEBI to Amend IPO Framework, Introduce Bond Platform Rules
By Editors | 04/10/2022
At its board meeting, SEBI also decided to allow net settlement between the cash and derivatives segments, which will enable netting benefits and reduce margins.
Cryptocurrency
US SEC Fines Celebrity Kim Kardashian for Promoting Crypto
By Editors | 04/10/2022
Kardashian failed to disclose the compensation she received to promote EMAX tokens on Instagram. The case is a warning to other celebrities and influencers.
Market Abuse
Hong Kong Charges 13 in Suspects Over Ramp-and-Dump Scheme
By Editors | 03/10/2022
The suspects allegedly used different social media platforms to manipulate the trading in the shares of two Hong Kong-listed companies.
Stablecoins
Korean National Assembly to Question Crypto Execs on Terra
By Editors | 02/10/2022
TerraForm Labs accuses Korean prosecutors of overreach. Luna Foundation Guard money allegedly transferred overseas.
Market Abuse
Japan SESC Seeks Penalty Order Against SMBC Nikko Securities
By Editors | 30/09/2022
The SESC has recommended that the FSA punish SMBC Nikko Securities for stock price manipulation and shortfalls in its trading surveillance system.
Market Abuse
Thai SEC Takes Legal Action Against Wash Trading in Crypto
By Sanday Chongo Kabange | 30/09/2022
The prosecution is required because the defendants, including two entities and three individuals, did not agree to the penalties prescribed by the SEC.
Market Abuse
FSC Korea to Introduce New Penalties for Unfair Trade Practices
By Sanday Chongo Kabange | 30/09/2022
Violators could be banned from trading, account opening, and serving as listed company directors for up to 10 years.
Market Abuse
SFC Suspends Hedge Fund Manager for Two Years
By Editors | 29/09/2022
The hedge fund manager used non-public information from a market sounding call to trade short swaps on a KRX-listed stock.
Market Abuse
China to Strengthen Cross-Agency Collaboration on Capital Market Crime
By Editors | 24/09/2022
Regulatory, law enforcement and prosecutorial agencies will cooperate to “treat both the symptoms and the root causes” that contribute to capital market crime.
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