All posts tagged "manipulation"
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272EnforcementUS Court Acquits Deutsche Traders in LIBOR Rigging Case
Former Deutsche Bank traders Matthew Connolly and Gavin Black were convicted in October 2018. Both have now been acquitted.
January 28, 2022 -
499EnforcementKorea FSS to Bolster Capacity at Special Investigations Unit
The FSS said an increase in manpower and an expansion of the unit's scope are needed to strengthen its capacity to respond to unfair trading practices in the capital market.
January 17, 2022 -
200Asia-PacificSri Lanka Regulator to Align Rules with New SEC Act Within January
The new SEC Act passed in September paves the way for new rules and guidelines to raise ESG standards among listed companies in Sri Lanka.
December 28, 2021 -
300InternationalIOSCO to Update Regulatory Principles for Commodity Derivatives
IOSCO says market authorities should establish a code of conduct for data providers, have a process to respond to unexpected disruptions, and analyse HFT and algo trading impacts.
November 17, 2021 -
282EnforcementCFTC Pays Record-breaking $200m Whistleblower Award
The award is the largest whistleblower payout on record, and for the first time includes an amount based on sanctions collected by a foreign regulator.
October 25, 2021 -
329Securities & TradingNYSE Launches First US ETF Linked to Bitcoin with SEC Approval
The ProShares bitcoin ETF had almost $1bn in turnover on the first trading day, after receiving a green light from the SEC last week.
October 21, 2021 -
236Asia-PacificSri Lanka: CSE to Allow Fundraising in Foreign Currencies
Sri Lankan companies will be allowed to raise debt and equity in foreign currency on the Colombo Stock Exchange. A new benchmark index is also being launched.
September 18, 2021 -
157Australia & NZFMA Files Suit Against Company Director Over Online Posts
The CEO of NZX-listed New Talisman Gold Mines made false and misleading representations in an online investor forum without disclosing his involvement with the company.
August 16, 2021 -
414AML / KYCSingapore Sees Resurgence of ‘Pump and Dump’ Scams
Seven victims recently bought more than 49,000 shares in a US-listed company based on the recommendation of an “expert” and lost over $1mn within two days.
August 12, 2021 -
303Enforcement
US Federal Court Sanctions Australian Trader for Spoofing
The Propex Derivatives trader is required to repay $21,000 in disgorgement and cease and desist from violating anti-spoofing and manipulation rules.
June 16, 2021
