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MISCONDUCT

Hong Kong’s SFC Signs MoU with ICAC to Fight Financial Crime

The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.

MAS to Focus on Helping Brokers Detect Customer Market Abuse

The regulator plans to do this by helping firms strengthen their internal controls.

Former Barclays FX Trader Acquitted of Market Manipulation

A US judge determined that the options markets aren’t government by clearly defined rules of trust.

SFC Issues Further Notices to Brokers for Client Misconduct

The three brokers have been issued the restriction notices as some of their clients are suspected of market misconduct.

SFC Issues Restriction Notices to Brokers for Client Misconduct

Clients from three brokers are suspected by the SFC of market misconduct.

FCA Fines Former Deutsche Bank Trader £180,000, Issues Indefinite Ban

Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA. ...

Report on Global Regulation Shows Sanctions on the Rise in 2017

US regulatory bodies remain the lead enforcers of sanctions pertaining to market conduct violations.

ANZ Reaches $50m Settlement with ASIC Following Breach in Trading Conduct

A small group of ANZ traders engaged in misconduct on the BBSW market between 2010-12.

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