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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Market Abuse
SFC Calls on Industry to Report Suspected Ramp-and-dump Activity
By Manesh Samtani | 26/07/2021
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
Market Abuse
Singapore: Three Individuals Charged for Insider Trading
By Editors | 22/07/2021
The former CFO of SGX-listed Broadway Industrial Group communicated insider information to two other individuals.
Market Abuse
NAFMII Reprimands Bond Market Makers Over Round-trip Trades
By Sanday Chongo Kabange | 17/07/2021
NAFMII has given a notice of criticism to China Minsheng Bank and summoned Guosen Securities and Guangdong Nanyue Bank for regulatory talks.
Data Privacy
China to Tighten Oversight of Overseas Listings
By Sanday Chongo Kabange | 08/07/2021
Chinese authorities will step up supervision of companies that list overseas to improve regulation of cross-border data flows and security.
Market Abuse
ICAC, SFC Arrest Listed Company Exec in Joint Operation
By Sanday Chongo Kabange | 08/07/2021
The ICAC and SFC searched a number of premises, including the offices of the listed company and one of its IPO underwriters.
Market Abuse
Taiwan Probe Casts Light on ‘Rampant’ Insider Trading – Report
By Sanday Chongo Kabange | 06/07/2021
A probe into a vaccine maker has cast a light on the prevalence of stock manipulation in Taiwan, where financial regulators do not have jurisdiction over insider trading cases.
Market Abuse
ASIC Consults on Changes to Market Integrity Rules
By Editors | 02/07/2021
Among the changes, the consultation proposes to require market participants to notify ASIC if it suspects a person of engaging in insider trading or manipulative trading.
Market Abuse
SFC Probes CLSA Over CEFC Energy Bond Deal
By Sanday Chongo Kabange | 25/06/2021
A former CLSA managing director has accused CLSA of “blatant” misbehaviour as bond underwriter for the now-defunct CEFC Energy.
Market Abuse
US Federal Court Sanctions Australian Trader for Spoofing
By Sanday Chongo Kabange | 15/06/2021
The Propex Derivatives trader is required to repay $21,000 in disgorgement and cease and desist from violating anti-spoofing and manipulation rules.
Market Abuse
ASIC Outlines Expectations on Activist Short Selling
By Manesh Samtani | 02/06/2021
Activist short selling can have a positive impact on market integrity, however it can also unduly distort the price of a target entity’s securities, ASIC says.
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