A 2017 research study pointed to insider trading as a pervasive practice among the most successful investors in China. Only time will tell if the new rules will make a dent in their gains.
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Despite ongoing social distancing rules and home working, regulators including the SEC and UK FCA are still strictly enforcing financial firms’ obligations under Market Abuse related regulations, which means powerful and reliable automated surveillance is even more important than ever” says SHIELD CEO Shiran Weitzman
Yue Li is charged with unlawfully trading in securities of a US-based acquisition target while he was aware of material, non-public information about a forthcoming acquisition.
The FCA has noticed a spike in buying activity of shares in companies that are about to conduct a major deal, therefore has launched an inquiry into insider trading.
Either the insider traders are interested in their own potential gains, or they know the best way to bulk up the company’s share prices to receive maximum director’s bonuses/dividends as well as profit from their own trading.
Credit Suisse’s blue sheet submissions regarding fixed-income securities failed to include certain execution level information for approximately 2,460 transactions.
The Advertising Standards Authority (ASA) upholds complaints by The Motley Fool Ltd against Stockmarket Insider Ltd.
Under the plan, 200,997 stock options held by Woody Woodall may be exercised and the underlying shares of FIS stock immediately sold.
As Trading 212 launches deliverable equities with zero commission to a wave of tumultuous speculation as to how this can actually be priced and offered, FinanceFeeds makes an incisive investigation and speaks with those concerned, the speculators and the company itself
Tomorrow, Deutsche Boerse CEO Carsten Kengeter faces tough questions over his alleged insider trading and on what grounds he has any remit to move the HQ of a merged entity between LSE and Deutsche Boerse to Frankfurt. Cartels, clearing and margin pool monopolies, undercapitalization, politics and an eye on the OTC world are major concerns
FXCM always told customers that they traded on FXCM’s no dealing desk platform, however the firm had an undisclosed interest in market maker that consistently ‘won’ FXCM trading volume and was therefore taking the opposite positions FXCM’s retail customers
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George Nikas is charged in connection with an international insider trading scheme, involving Goldman Sachs’ investment banker Bryan Cohen.
The regulator has also clarified it will not provide immunity from any administrative or compensation actions. In the meantime, the US SEC announced it has awarded a total of $741 million to 136 whistleblowers since 2012.
Nick Morgan believes chances of obtaining prosecutions are quite slim but very possible
Working from home and using WhatsApp to distribute information? Watch out for the regulator. “Don’t expect sympathy and get your act together”.
For more than five years, SG Americas made numerous deficient blue sheet submissions, largely due to undetected coding errors.
Cohen will have to complete 1,500 hours of community service working in a program that helps the neediest and most vulnerable segment of the population.
The Government says the substantial term of imprisonment sought for Bryan Cohen is necessary for just punishment, specific and general deterrence, and promoting respect for the law.