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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
Credit Risk
Hedge Fund Collapse Sparks Billions in Losses for Banks
By Manesh Samtani | 30/03/2021
The SEC, FSA, and FINMA are monitoring the situation, after the collapse of Archegos Capital Management left Nomura and Credit Suisse with billions in losses.
Market Abuse
CSRC Issues Revised Disclosure Rules for Listed Companies
By Editors | 25/03/2021
The new rules introduce additional safeguards against insider trading and improve the timing of disclosure of major events.
Market Abuse
CFTC Penalises Coinbase for False Reporting, Wash Trading
By Editors | 23/03/2021
The settlement requires Coinbase to pay $6.5mn, and desist from any further violations of the Commodity Exchange Act or CFTC regulations.
Market Abuse
Malaysia SC Probes Share Disposals by AmBank Execs
By Sanday Chongo Kabange | 23/03/2021
Seven executives sold a combined MYR 1.63 million in shares on the same two days in December, just two months ahead of AmBank’s 1MDB settlement.
Market Abuse
CBA, ANZ to Settle 2016 Lawsuit Involving BBSW Manipulation
By Editors | 23/03/2021
The case was initially launched by two US hedge funds and a US-based derivatives trader, alleging they suffered losses due to bank manipulation of the BBSW.
Market Abuse
Taiwan Regulators Steps Up Scrutiny of Clubhouse App
By Ranamita Chakraborty | 22/03/2021
The social media app restricts voice recording without the consent of every speaker in a chat room, which may create a loophole for stock manipulators.
Market Abuse
New York Court Reinstates SIBOR Manipulation Lawsuit
By Editors | 19/03/2021
The case is being reinstated to allow Fund Liquidation Holdings LLC to pursue claims against 18 banks on behalf of two defunct funds that initially launched the lawsuit.
Market Abuse
Singapore Court Jails, Fines Ex-Director for False Trading
By Editors | 15/03/2021
The former director of investment and corporate advisory firm WLA Regnum was jailed and fined for false trading and deceiving UOB Kay Hian.
Market Abuse
John McAfee Indicted for Crypto-related Fraud, Money Laundering
By Sanday Chongo Kabange | 08/03/2021
McAfee and his associate allegedly used their large Twitter following to promote altcoins and ICOs to investors through a so-called pump-and-dump scheme.
Market Abuse
SEBI Directs MIIs to Establish Controls to Prevent Market Abuse
By Editors | 08/03/2021
Stock exchanges, clearing corporations and depositories are asked to establish a code of conduct and institutional mechanism to prevent fraud and market abuse.
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