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The DOJ described the case as the first it has prosecuted exclusively based on a rule that allows company insiders to create a predetermined plan to sell shares.
Our regular new GRIP REMIT Market Watch feature covers ACER’s quarterly report on its activities under REMIT; and recent market manipulation and insider trading activity.
Regulator Finansinspektionen issues remark and fine over insider trading and unauthorized trading concerns.
With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
It’s been a relatively quiet period as far as FCA announcements go, so the latest in our regular series of roundups covers a month.
The cases revolve around MNPI an individual got from a Dick’s Sporting Goods employee to engage in nearly 200 trades of the company’s securities.
Shadow trading case extends potential insider trading liability, creating considerable risk for both companies and insiders.