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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Trading & Investment
China FIs Asked to Boost Bond Issuance by Private Enterprises
By Darien Choong | 27/07/2022
Financial institutions are asked to support private enterprises by helping them to issue bonds and increasing their investments in such bonds.
Market Abuse
US DOJ Charges Ex-Coinbase Employee for Insider Trading
By Manesh Samtani | 25/07/2022
A former Coinbase employee and two others were charged. The SEC’s parallel action classifies 9 crypto tokens as securities. Coinbase files a petition.
Market Abuse
ASIC Expects Market Participants to Detect Pump and Dump Activity
By Editors | 23/07/2022
New report sets out indicators and good practices to help market participants detect, prevent, and respond to pump and dump activity.
Market Abuse
SEBI to Extend Insider Trading Prohibitions to Mutual Funds
By Editors | 17/07/2022
SEBI plans to require asset managers to disclose the holdings and transactions of connected persons, as well as those of their immediate relatives, on an independent platform.
Cryptocurrency
Thailand Refines Rules for Crypto Firms, Issues Draft Rules for Banks
By Manesh Samtani | 15/07/2022
The SEC amended capital requirements and other rules for crypto firms. The BOT issued draft rules for banks dealing in crypto. Two crypto exchanges were penalised.
Market Abuse
China to Intensify Supervision of Hog Futures Market
By Editors | 07/07/2022
The Dalian Commodity Exchange has been directed to enhance supervision and monitoring for abnormal transactions and speculative activity.
Conduct, Culture & Accountability
Former Archegos Employee Sues Firm Over Deferred Bonuses
By Manesh Samtani | 06/07/2022
Archegos employees were “coerced” to invest their bonus money into the firm through a deferred compensation plan, which evaporated when the company collapsed last March.
Market Abuse
SEBI Fines NSE, Infotech, Six Others Over Algo Trading Scandal
By Editors | 04/07/2022
NSE awarded a contract to Infotech despite conflicts of interest. Confidential NSE data was then misused to develop algorithmic trading software.
Market Abuse
SEBI Fines NSE, Officials, Brokers in Colocation Case
By Editors | 02/07/2022
SEBI fined the NSE, five officials, Sampark Infotainment, two brokerage firms and nine other individuals connected to the case.
Emerging Prudential Risks
SFC Reviewing Market Practices to Guard Against Risk
By Manesh Samtani | 30/06/2022
Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
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