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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Supervision & Enforcement
MAS Offers Update on Major Ongoing Investigations
By Editors | 29/04/2022
MAS’ latest enforcement report includes a new section providing updates on cases relating to Noble Group, Hyflux, Eagle Hospitality Trust, and Hui Xun Asset Management.
Market Abuse
US Authorities File Charges Against Archegos, Key Executives
By Manesh Samtani | 28/04/2022
The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.
Market Abuse
Taiwan: Foreign Brokers Cleared of Wrongdoing in Trading Probe
By Editors | 27/04/2022
A probe into foreign brokerage firms was launched last month after they sold shares in TSMC while also issuing “buy” recommendations in research reports.
Market Abuse
MAS Penalises Two CIMB Securities Brokers for False Trading
By Editors | 26/04/2022
The two brokers rigged the market for Kris Wiluan, who was convicted and fined in May 2021 for manipulating the stock prices of KS Energy where he was CEO.
Market Abuse
Tokyo Prosecutors Indict SMBC Nikko Securities Deputy President
By Editors | 14/04/2022
The former deputy president is suspected of colluding with other staff to illegally manipulate stock prices to keep block trade deals with clients from falling through.
Market Abuse
Shanghai Bourse Probes First STAR Market Securities Fraud Case
By Editors | 12/04/2022
An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.
Credit Risk
China to Use ‘Social Credit’ Scores in Lending Market
By Darien Choong | 07/04/2022
Authorities say they are seeking to use the social credit system to improve financing opportunities and increase lending to businesses and individuals.
Market Abuse
Korea: FSC, FSS Relaunch Special Investigations Team
By Editors | 05/04/2022
The team comprises officials from the FSC and FSS, who will be authorised to investigate illegal acts in the capital market more quickly.
Market Abuse
TWSE Probes Foreign Securities Firms Over Research Reports
By Darien Choong | 29/03/2022
There have been rumours that foreign securities firms have been selling off stocks before they achieve the target prices specified in published research reports.
Structural Regulation
Thailand SEC Unveils 2022-2024 Strategic Plan
By Editors | 29/03/2022
The SEC will seek to enhance competitiveness, ensure inclusiveness, and strengthen trust and confidence in the capital market.
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