All posts tagged "block trades"
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740EnforcementTokyo Prosecutors Indict SMBC Nikko Securities Deputy President
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.
April 14, 2022 -
605Enforcement
Tokyo Prosecutors Indict SMBC Nikko Securities, Five Others
Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm's equity division was also arrested.
March 25, 2022 -
831Enforcement
SMBC Nikko Employees Arrested in Manipulation Probe
Two Japanese and two foreign nationals were arrested for allegedly manipulating at least five stocks when handling block orders for clients.
March 7, 2022 -
738ChinaCSRC Asks Morgan Stanley to Provide Information on US Probe
The CSRC has reportedly given Morgan Stanley 30 days to provide details about its role in a US investigation into its block trading practices.
March 1, 2022 -
807EnforcementUS Agencies Probe Block Trading Practices at Banks, Hedge Funds
The DOJ and SEC are reportedly examining whether banks may have improperly alerted hedge funds ahead of market-moving block trades.
February 17, 2022 -
366EnforcementSMBC Nikko Securities Under Market Manipulation Probe – Report
Employees are said to have traded several stocks to support their prices to ensure the completion of block deals conducted after market hours.
November 4, 2021 -
317Securities / DerivativesSGX Adds RFQ Functionality for FX Derivatives on OTC Platform
The RFQ function allows market participants to negotiate and transact block trades in FX futures and options on the Titan OTC Pro platform.
October 3, 2021 -
1.4KFeatureSEBI to Introduce Optional T+1 Settlement Cycle from January
Stock exchanges may choose to offer T+1 settlement on any scrip, after providing the market advance notice of at least one month.
September 8, 2021 -
952Hong KongHKFE Obtains CFTC Certification for More MSCI Contracts
Two broad-based Taiwan equity index contracts have received CFTC certification, allowing them to be offered and sold to persons in the US.
October 7, 2020 -
869FeatureHKEX Launches Five New MSCI Futures Contracts
The bourse operator also plans to launch an MSCI Taiwan options contract later this year, subject to regulatory approvals and market conditions.
September 29, 2020
