All posts tagged "Market manipulation"
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442Fintech / 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 -
264AML / 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 -
759Asia-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 -
423EnforcementSFC Orders Freezing of More Assets Linked to Manipulation Case
The SFC has ordered more brokers to stop dealing with and processing assets linked to suspected market manipulation of Ding Yi Feng shares.
June 26, 2019 -
664EnforcementUS SEC Charges Five Asian Traders for Market Manipulation
The SEC has charged three Malaysians, one Singaporean and one Chinese national with violating antifraud and market manipulation provisions.
June 21, 2019 -
600KoreaKorea 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 -
445ChinaChinese Police Arrest Five More Fuxing Execs on Fraud Charges
Four deputy presidents and the head of one of Fuxing's subsidiaries have been detained for illegal fundraising activities, following charges brought against the group's chairman last July.
May 10, 2019 -
628Enforcement
Singapore Charges Three for Spoofing Index Futures
In a MAS-CAD joint investigation, three individuals are being charged for allegedly spoofing SGX-MSCI index futures and giving false statements to SGX.
March 28, 2019 -
525Enforcement
SFC Orders Brokers to Freeze Client Assets in Market Manipulation Case
The prohibition orders as part an investigation into suspicious trading which appeared to create a false market in China Ding Yi Feng shares leading to an "irrationally high share price".
March 22, 2019 -
544EnforcementRBI 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
