All posts tagged "Insider Trading"
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357EnforcementSEBI Proposes Informant Mechanism to Combat Insider Trading
SEBI wants to institute a process that incentivises timely reporting of instances of insider trading and provides for the granting of rewards to whistleblowers.
June 11, 2019 -
646EnforcementMAS Penalises Singapore National in LSE Insider Trading Case
The penalty was the result of close cooperation and information sharing between MAS and the UK FCA, which had referred the case and provided investigative assistance.
June 5, 2019 -
523KoreaKorea to Ease Data Barriers Within Financial Services Firms
In addition to easing information barriers within financial services firms, the FSC will also allow them to outsource their core businesses to third parties with as fintech startups.
May 13, 2019 -
326Enforcement
SEBI Seeks Broader Powers to Pursue Securities Law Violations
SEBI wants to be able to inspect the books of listed companies when it suspects any securities law violations, and to impose penalties for the manipulation of a company’s accounts.
March 25, 2019 -
298EnforcementS. 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 -
760AML / KYC
MAS 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 -
495EnforcementRBI 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 -
491Enforcement
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 -
446EnforcementHong 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 -
570Asia-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
