All posts tagged "Market Abuse"
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201KoreaKRX 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 -
567FeatureBNM 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 -
299InternationalIOSCO 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 -
246FeatureBNM 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 -
200EnforcementSEBI 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 -
17.5KBig PictureSingapore Rated Asia’s Top Regulatory System, Followed by Hong Kong
Duff & Phelps survey respondents rated the UK as the world’s top regulatory regime, followed by Singapore and the US, which tied for second place.
February 18, 2021 -
1.1KPress ReleaseSGX Wins Exchange of the Year in Regulation Asia Awards
SGX has this year been boosting awareness of ESG and sustainability issues, deploying innovative solutions to combat market abuse, and helping firms to mitigate Covid-19 disruptions.
December 16, 2020 -
1.7KEnforcementMAS Targets Market Abuse, Misconduct, AML Control Breaches
In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
November 5, 2020 -
906EnforcementFSC Korea Kicks Offs New Task Force to Address Illegal Trading
Korean regulators will work to enhance cross-agency information sharing, introduce a new market abuse monitoring system, and raise penalties for unfair trading activities.
October 22, 2020 -
1.4KEuropeUK FCA Bans Retail Sale Of Crypto Asset Derivatives
The ban covers contracts for difference, options, futures and exchange-traded notes referencing crypto assets, and will come into effect on 6 January 2021.
October 9, 2020
