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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
CSRC Asks Morgan Stanley to Provide Information on US Probe
By Editors | 28/02/2022
The CSRC has reportedly given Morgan Stanley 30 days to provide details about its role in a US investigation into its block trading practices.
Market Abuse
US SEC Proposes New Rule to Increase Short Selling Transparency
By Editors | 28/02/2022
Institutional investment managers will have to report information relating to short positions to the SEC on a monthly basis. The data will be aggregated and made available to the public.
Market Abuse
US Agencies Probe Block Trading Practices at Banks, Hedge Funds
By Editors | 17/02/2022
The DOJ and SEC are reportedly examining whether banks may have improperly alerted hedge funds ahead of market-moving block trades.
Market Abuse
HK Court Orders Illicit Insider Dealing Profits to Be Returned
By Editors | 17/02/2022
Illicit profits made from insider dealing in the shares of GEM-listed TeleEye Holdings in 2016 will be returned to 63 investors.
Market Abuse
Prosecutors Drop Criminal Cartel Case Against Citi, Deutsche
By Editors | 13/02/2022
Australia’s top prosecutor concluded that there were no longer reasonable prospects of convicting Citigroup, Deutsche Bank and four former executives.
Market Abuse
Wash Trading Undermines Trust in NFT Markets: Report
By Manesh Samtani | 10/02/2022
Wash trading profits are likely derived from sales to “unsuspecting buyers”, who believe the NFTs they purchase have been growing in value.
Market Abuse
Singapore Man Charged Over False Statements in Telegram Chat
By Manesh Samtani | 09/02/2022
The false statements were used to induce investors to trade listed securities. SGX has previously warned about the use of Telegram chat groups in “pump and dump” schemes.
Market Abuse
US DOJ Probes for Criminal Abuses by Known Short Sellers
By Editors | 07/02/2022
The DOJ is reportedly seeking records from almost 30 investment and research firms to map out their alliances and determine whether they manipulated markets or broke securities laws.
Market Abuse
SFC Fines Citigroup Asia Unit for Client Facilitation Misconduct
By Editors | 28/01/2022
Deceptive practices were deployed at the expense of clients’ best interest and to the detriment of market integrity, said SFC chief Ashley Alder.
Market Abuse
US Court Acquits Deutsche Traders in LIBOR Rigging Case
By Editors | 28/01/2022
Former Deutsche Bank traders Matthew Connolly and Gavin Black were convicted in October 2018. Both have now been acquitted.
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