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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
China Listed Companies Directed to Improve Financial Reporting
By Darien Choong | 27/03/2022
Listed companies are asked to improve the effectiveness of their financial reporting controls and the quality of their accounting information.
Market Abuse
SEBI Probes Investment Banks Over Possible Insider Trades
By Editors | 27/03/2022
SEBI’s new AI-based surveillance systems have detected possible insider trades by related parties of investment bankers.
DeFi & Web3
IOSCO Forms New Task Force Targeting DeFi Regulation
By Manesh Samtani | 26/03/2022
The task force, chaired by MAS assistant managing director Tuang Lee Lim, will help coordinate policy action to address the risks in DeFi.
Market Abuse
Tokyo Prosecutors Indict SMBC Nikko Securities, Five Others
By Editors | 24/03/2022
Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm’s equity division was also arrested.
Market Abuse
SET to Step Up Measures to Address Irregular Trading
By Editors | 23/03/2022
The Stock Exchange of Thailand has received SEC approval to tighten its market surveillance measures, effective from 4 April.
Structural Regulation
BSEC Orders Bourses to Reshuffle Regulatory Affairs Divisions
By Editors | 23/03/2022
Stock exchange employees working in Regulatory Affairs departments for more than three years must transfer to other departments immediately.
Market Abuse
SEBI Seizes Records from Market Manipulators in 4 States
By Editors | 14/03/2022
Individuals and entities were operating Telegram channels to encourage investors to deal in listed stocks, thereby creating “artificial volume and price rise”.
Market Abuse
Indian Police Arrest Former NSE Head Chitra Ramkrishna
By Sanday Chongo Kabange | 07/03/2022
The CBI said evidence shows that Ramkrishna engaged in a conspiracy with another executive, after she coerced NSE’s HR department to hire him.
Market Abuse
SMBC Nikko Employees Arrested in Manipulation Probe
By Editors | 07/03/2022
Two Japanese and two foreign nationals were arrested for allegedly manipulating at least five stocks when handling block orders for clients.
Market Abuse
HK Court Offers Questionable Rationale in Insider Dealing Case
By Tom Fyfe | 01/03/2022
The court’s decision merely transfers illicit profits to a select group of individuals who were “lucky enough to have traded with the insider”, says Tom Fyfe.
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