All posts tagged "Insider Trading"
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319FeatureTWSE Amends Listed Company Guidelines to Enhance Governance, CSR
The amendments include stock trading controls to prevent insider trading, ethical management units at listed companies, and disclosures of governance practices for managing climate risk.
February 19, 2020 -
337EnforcementSEBI Establishes Insider Trading Whistleblower Protection Office
The 'Office of Informant Protection' is charged with receiving and processing information on insider trading disclosed by whistleblowers, and with protecting their identities.
December 28, 2019 -
914AML / KYCBig Data is Transforming Investigations
Big data is rapidly changing how regulators and law enforcement conduct investigations and build cases, say Jeremy Birch, Peter Jones and Kyle Wombolt at Herbert Smith Freehills.
December 12, 2019 -
315ChinaChina Issues Revised Trading Rules for Interbank FX Market
The rules are intended for both domestic and foreign institutions, in line with recent draft rules from SAFE that sought to allow foreign firms to trade RMB foreign exchange derivatives.
December 12, 2019 -
438Enforcement
SEBI Targets Insider Trading with Informant Reward Mechanism
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
August 22, 2019 -
683Fintech / RegtechSingapore Brokers Directed to Enhance Trade Surveillance Systems
MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
August 8, 2019 -
536ChinaCSRC Imposes $56mn Penalty on Individual for Insider Trading
The individual learned of a gaming company’s acquisition plans months in advance and used 14 stock accounts set up by acquaintances to profit from the information.
August 8, 2019 -
578AML / KYCMAS Targets Market Abuse with Proposed New Requirements
Capital market licensees will have to record all client communications and capture their mobile device IDs. Foreign intermediaries will have to provide UBO information on request.
August 6, 2019 -
960Asia-PacificPhilippine SEC Consults on Draft Rules for Digital Asset Exchanges
The rules specify capital requirements of PHP 100mn, plus 12 months of operating expenses, and allow digital asset exchanges in the Philippines to be set up by foreign-registered entities.
July 19, 2019 -
1.2KEnforcement
Singapore Convicts Three Front-Runners Under Insider Trading Laws
Two First State equity dealers told a UOB Kay Hian remisier about their firm's intended orders to front-run trades in 100 counters, leading to over S$8mn in insider trading profits over 8 years.
July 11, 2019
