All posts tagged "securities fraud"
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610AML / KYCUS SEC, DOJ File Fraud Charges Over $62mn Crypto Fraud
MCC International Corp and its founders were charged for selling fraudulent investment plans that promised daily returns from crypto mining and robotic trading.
May 11, 2022 -
412EnforcementUS Authorities File Charges Against Archegos, Key Executives
The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.
April 28, 2022 -
500ChinaShanghai Bourse Probes First STAR Market Securities Fraud Case
An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.
April 13, 2022 -
590ChinaChina Eases Process for Investors to Seek Redress for Securities Fraud
Administrative penalties or criminal judgments will no longer be preconditions for courts to accept civil compensation cases involving securities fraud.
February 6, 2022 -
373Asia-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 -
840EnforcementUS Authorities Criminally Convict NatWest on Spoofing Charges
NatWest traders engaged in schemes to defraud in connection with spoof orders designed to profit from manipulation of the US Treasury securities and futures markets, the DOJ said.
December 24, 2021 -
276AML / KYC
John McAfee Indicted for Crypto-related Fraud, Money Laundering
McAfee and his associate allegedly used their large Twitter following to promote altcoins and ICOs to investors through a so-called pump-and-dump scheme.
March 8, 2021 -
723China
SSE, SZSE Issue Rules on the Exchange of Corporate Bonds
The rules require companies that issue replacement bonds to exchange for maturing debt to make exchange offers to all bondholders on an “equal and voluntary basis”.
August 6, 2020 -
705ChinaChinese Financial Regulators Vow Crackdown on Fraud
The FSDC set out measures to speed up investigations and criminal prosecutions, increase penalties and civil compensation, and improve stock market delisting mechanisms.
July 15, 2020 -
790ChinaCSRC Vows Cross-border Cooperation in Luckin Fraud Case
The CSRC has been communicating with US regulators, looking to deepen cross-border cooperation to combat misconduct and fraud and to protect investors.
April 29, 2020
