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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
MAS Penalises Former UOBKH Representative for False Trading
By Editors | 19/08/2022
The former UOB Kay Hian trading representative committed false and unauthorised trading for a client who was himself sentenced in March 2021.
Market Abuse
SEC Charges 18 for Manipulation Using Hacked Trading Accounts
By Editors | 18/08/2022
The hackers broke into at least 31 US retail brokerage accounts to buy stock to drive up prices and exit their positions at artificially high prices.
Supervision & Enforcement
CSRC Probes China Merchants Securities Over 2014 Deal
By Editors | 18/08/2022
The investigation will impact any IPO applications being sponsored by China Merchants Securities.
Market Abuse
Korea FSS Targets Illegal Short Selling, FX Transactions
By Editors | 17/08/2022
October inspections will focus on firms with high volumes of short selling transactions. Probe into crypto-related FX transactions still underway.
Market Abuse
SEBI Issues Framework to Curb Inadvertent Insider Trading
By Editors | 15/08/2022
Company insiders would have their trading automatically restricted while they are in possession of unpublished price sensitive information.
Market Abuse
Two JPM Traders Convicted on Spoofing Charges
By Editors | 15/08/2022
The two former traders were convicted of attempted price manipulation, spoofing, commodities fraud, and wire fraud following a three-week jury trial.
Alternative Markets
FCA Sets Out Supervisory Priorities for Alternative Funds
By Manesh Samtani | 11/08/2022
Firms offering ESG products should expect to be subject to review to ensure marketing materials are not misleading.
Market Abuse
Taiwan FSC Penalises Eastspring for Violations by Former CIO
By Editors | 09/08/2022
The former chief investment officer used “another person’s account” to trade the same stock that was being traded by Eastspring.
Market Abuse
Taiwan FHC Fined for Leaking Data to Major Shareholder
By Editors | 03/08/2022
China Development Financial Holding Corp was fined TWD 20mn. Its subsidiaries China Life and KGI Securities were fined TWD 6mn and TWD 2.4mn respectively.
Market Abuse
Korean Regulators Vow to Punish Illegal Short Selling Activities
By Editors | 29/07/2022
Regulators may revise laws as early as this year to require short sellers trading large quantities of stocks to file reports on their activity.
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