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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Fraud, Scams & Cybercrime
Taiwan to Hold Directors Responsible for Fund Manager Fraud
By Editors | 19/09/2022
The FSC will be able to dismiss board members of investment firms or revoke their business licences entirely if fund managers are involved in fraud.
Market Abuse
Korea to Require Advance Disclosure of Insider Stock Trades
By Sanday Chongo Kabange | 15/09/2022
Board members and principal shareholders will be required to disclose information about planned stock trades least 30 days before the expected trading date.
Market Abuse
Singapore Jails Five Former Remisiers for False Trading
By Editors | 06/09/2022
The five were former remisiers for Phillip Securities, OCBC Securities, DBS Vickers Securities, and Maybank Kim Eng Securities.
Market Abuse
Thai SEC Penalises Bitkub CTO for Insider Trading Violations
By Editors | 05/09/2022
Bitkub’s CTO bought the company’s own digital token, KUB Coin, based on inside information about a proposed acquisition by Siam Commercial Bank.
Market Abuse
Thai SEC Files Suit Against Company Chairman Fake Vaccine Deal
By Editors | 03/09/2022
The chairman disseminated false statements to various media outlets last year saying his company had signed a contract to import Phizer’s Covid-19 vaccines.
Market Abuse
Korean Regulators Start Short-selling Inspections at Foreign Firms
By Editors | 30/08/2022
The FSS has launched an inspection of Morgan Stanley’s short-selling practices. Similar inspections at BAML and Goldman Sachs will come next.
Market Abuse
MAS Fines Noble Group Over Misleading Financial Statements
By Editors | 25/08/2022
The S$12.6mn fine is understood to be the largest fine for the publication of misleading financial statements in Singapore’s history.
Market Abuse
FCA Fines Citi’s UK Unit Over Trade Surveillance Issues
By Editors | 24/08/2022
The FCA said Citigroup did not properly implement MAR requirements to monitor orders and trades to detect market abuse.
Market Abuse
Academic Study Finds Broader Front-Running Problem at Coinbase
By Mark Johnston | 23/08/2022
University of Technology Sydney researchers estimate that insider trading occurred on 10-25% of new crypto listings at Coinbase between Sept 2018 and May 2022.
Market Abuse
SFC Probes AMTD Over Past Underwriting Deals – Reports
By Editors | 22/08/2022
The full scope of the probe into AMTD Group and its current status are “unclear”, but it is said to be related to previous underwriting deals.
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