All posts tagged "inside information"
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407ChinaCSRC Issues Draft Rules Promoting ‘Honest’ Investment Banking
The draft rules require investment banking intermediaries to strengthen risk control and strictly prohibit the use of below-market pricing to win business.
September 30, 2021 -
267Australia & NZASIC Outlines Expectations on Activist Short Selling
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.
June 2, 2021 -
205EnforcementHong Kong: Six Current & Former Directors Fined Over Inside Information
Timely disclosure of inside information is central to the orderly operation of the market and underpins a fair and informed market, the SFC said.
May 14, 2021 -
578AML / KYCBaFin Files Criminal Complaint Against Deutsche Bank Exec
Alexander Schütz is suspected of using inside information to trade Wirecard shares. A separate probe into EY's audits of Wirecard is continuing.
April 23, 2021 -
434EnforcementSFC Wins Final Appeal in 2007 Insider Dealing Case
The Market Misconduct Tribunal and Court of Appeal both ruled against the SFC before the case was brought to the Court of Final Appeal.
April 8, 2021 -
926ChinaPBOC to Scrap Market Maker Approval Process in Interbank Market
The PBOC proposes to allow banks and securities firms to only sign an agreement with trading platforms to conduct market making business.
November 2, 2020 -
781EnforcementHong Kong Finance Manager Convicted of Insider Dealing
A GEM stock finance manager was in possession of inside information related to unaudited losses and an impending share suspension when he and his father sold their shares in the company.
February 21, 2019
