All posts tagged "Insider Trading"
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188EnforcementS. Korea FSS’ Integrity Questioned in Local Report
As discussions progress on granting the FSS greater investigative powers, a local media report raised questions on the regulator's integrity, citing its 2018 requests that fines against its staff be dismissed.
March 22, 2019 -
404AML / KYCMAS Details Enforcement Outcomes, Priorities in Inaugural Report
The inaugural enforcement report reveals that MAS issued S$16.8mn in financial penalties and S$698,000 in civil penalties over 18 months.
March 21, 2019 -
349EnforcementRBI Issues Finalised Guidelines on Market Abuse
The new rules against market abuse cover market and benchmark manipulation and the misuse of information in markets regulated by the RBI.
March 18, 2019 -
385Enforcement
S. Korea Mulls Granting Investigative Powers to FSS
Under the new approach, the FSS will be able to launch investigations without having to first report to the FSC and request warrants to search and seize evidence.
March 6, 2019 -
366EnforcementHong 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 -
479Asia-PacificVietnam’s SSC to Beef up Handling of Stock Market Violations
The SSC is coordinating with Vietnam's Ministry of Public Securities to ensure violators face criminal charges in addition to the existing administrative sanctioning regime.
January 25, 2019 -
580ChinaChina 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 -
360IndiaSEBI 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 -
474EnforcementIT 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 -
595Fintech / 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
