Insider List and Information Management Under MAR In effect since July of 2016, the European Market Abuse Regulations (MAR) are EU regulations... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens in financial firms when an employee, executive, or director has... READ MORE
Fund Manager Gets 6 Years' Jail: ASIC Insider Trading Case The Federal Court in Sydney has sentenced a former investment manager for an ASX-listed asset... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
SFC Issues 3-Year Ban of Former Licensee Over Trading Conduct Hong Kong’s Securities and Futures Commission (SFC) has banned a former licensed representative of... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Blackout Periods and Insider Trading Risk for Listed Companies Insider trading cases have seen a variety of sentences over the years. However, some jurisdictions... READ MORE
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