All posts tagged "Market Abuse"
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216ESG / SustainabilityFCA Sets Out Supervisory Priorities for Alternative Funds
Firms offering ESG products should expect to be subject to review to ensure marketing materials are not misleading.
August 12, 2022 -
575Crypto / Digital AssetsUS SEC Expands Enforcement Unit Dedicated to Crypto, Cyber
The additional resources will be used to prioritise investigations related to crypto asset offerings, exchanges, lending and staking products, as well as DeFi platforms, NFTs and stablecoins.
May 5, 2022 -
574KoreaFSC Korea to Tighten IPO Lockup Rules Starting in March
A staggered lockup contracts system will be introduced to avoid sell orders being concentrated immediately after the end of the usual six-month lockup period.
February 24, 2022 -
1.2KAML / KYCHK Gov Issues Discussion Paper on Proposed VASP Regime
Licensing will be available to companies incorporated elsewhere as long as they have a registration in Hong Kong.
February 11, 2022 -
957AML / KYCWash Trading Undermines Trust in NFT Markets: Report
Wash trading profits are likely derived from sales to "unsuspecting buyers", who believe the NFTs they purchase have been growing in value.
February 11, 2022 -
822KoreaKRX Chief Vows to Improve Investor Protection in Stock Market
Sohn Byung-doo suggests lockup periods be imposed on executives following an IPO, and that companies be required to consider retail investors when processing spinoff IPOs.
January 28, 2022 -
905FeatureBNM Finalises Guidance for Wholesale Financial Market Conduct
Market conduct risk assessments should be done at least annually, to serve as a systematic method for assessing susceptibility to misconduct and documenting mitigating actions or controls.
January 5, 2022 -
392InternationalIOSCO 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 -
336FeatureBNM Raises Expectations of Good Conduct in Wholesale Markets
The board and management must ensure good conduct culture is embedded and governance structures "inculcate fair and ethical decision making".
November 15, 2021 -
240EnforcementSEBI Directs MIIs to Establish Controls to Prevent Market Abuse
Stock exchanges, clearing corporations and depositories are asked to establish a code of conduct and institutional mechanism to prevent fraud and market abuse.
March 8, 2021
