All posts tagged "Insider Trading"
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474ChinaChina Securities Regulator Breaks Record with 2018 Penalties
The CSRC imposed fines of over $1.55bn in 2018, with the largest number of cases relating to insider trading, illegal disclosures and market manipulation.
January 8, 2019 -
305IndiaSEBI to Upgrade Market Surveillance System and Data Warehouse
India's securities regulator is looking to beef up its IT infrastructure for market surveillance and trade data analysis to improve detection of market violations.
January 4, 2019 -
401EnforcementIT Consultant of Singapore Investment Bank Charged with Insider Trading
The US SEC has filed charges against an outsourced IT contractor for trading on inside information while working at the Singapore branch of an investment bank.
December 10, 2018 -
538Fintech / RegtechJapan Allows Self-Regulation Among Cryptocurrency Exchanges
The Japan Virtual Currency Exchange Association has been given a “certified fund settlement business association” accreditation, allowing it to make rules and police domestic exchanges.
October 25, 2018 -
323EnforcementRBI Consults On Market Abuse Prevention Rules
The draft guidelines will ban price manipulation in any financial instrument or benchmark rate and require market participants to put in place internal policies to monitor for market abuse.
October 1, 2018 -
239China
Former CSRC Vice Chairman Jailed for 18 Years
Yao Gang was sentenced for taking 70 million yuan in bribes from 2006 to 2015 and for pocketing 2.1 million yuan in insider trading gains.
October 1, 2018 -
379Fintech / RegtechCryptocurrency Framework Needs Update – Japan FSA
On-site inspections revealed a lack of internal controls, inadequate governance and poor business models at exchanges.
August 16, 2018 -
254Enforcement
Market Conduct Committee Calls for Greater Enforcement Powers for SEBI
A committee looking at fair market conduct has proposed greater powers for SEBI to go after insider trading, including the power to intercept phone and electronic communications.
August 13, 2018 -
232China
Beijing High Court Overturns CSRC Fine in Insider Trading Case
The court overturned a ¥130mn fine due to lack of testimony from the person who allegedly provided the key deal information in the case.
July 20, 2018 -
304AML / KYCMAS Proposes Amendments to Misconduct Reporting Regime
Proposed changes aim to provide greater clarity on requirements and reduce errors in the submission of misconduct reports; reference checks to be mandatory when recruiting staff.
July 12, 2018
