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Market abuse

Topic: Market abuse

FCA: companies may be missing signs of spoofing

17 November 2021

BNY Mellon settles whistleblower case

15 November 2021

FCA fines second company over cum-ex trades

The UK financial regulator has ordered London-based brokerage Sunrise Brokers to pay £642,000 for executing suspected cum-ex trades on behalf of its clients.

12 November 2021

Nikola expects to pay $125 million in SEC probe

Electric truck maker Nikola is close to resolving an SEC investigation in the wake of allegations that the company lied about the capabilities of its vehicles.

04 November 2021

FCA hands life ban to ex-Barclays banker convicted of rigging Euribor rate

The FCA has issued a life ban to Colin Bermingham almost seven years after notifying him of its intention to bring an enforcement action against him.

02 November 2021

Settlement negotiations break down in CFTC spoofing case

A federal court in Chicago has ruled that the US commodity regulator’s civil case against former Deutsche Bank trader James Vorley can proceed after settlement negotiations broke down.

25 October 2021

Review body delays Tom Hayes decision again

19 October 2021

New FCA cum-ex cases dry up

The FCA appears to have closed four investigations linked to the cum-ex scandal in the past six months.

12 October 2021

SEC reportedly opened Archegos market manipulation probe

11 October 2021

DOJ appeals against decision to let SocGen trader fight charges from France

05 October 2021