insider dealing


SFC withdraws Restriction Notice issued to a broker in connection with client’s suspected insider dealing

The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice issued to Kingsway Financial Services Group Limited (KFS) in connection with a client account that holds proceeds of ... Read More

SEC is freezing brokerage accounts holding more than $29 million in illegal profits

SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More

Two sentenced to imprisonment suspended in insider dealing case

In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two ... Read More

Former Equity Portfolio Manager at BlackRock pleads guilty to insider dealing

Mark Lyttleton, a former Equity Portfolio Manager at BlackRock, has today pleaded guilty to two counts of insider dealing.  He will be sentenced on 21 December 2016. Mr Lyttleton ... Read More

Former BlackRock fund manager charged with insider dealing in UK

Mark Lyttleton, a former fund manager at the UK division of asset manager BlackRock Inc , has been charged with insider dealing by Britain’s markets regulator. The Financial Conduct ... Read More

New EU rules to fight insider dealing and market manipulation in Europe’s financial markets take effect

A revamped EU legal framework, applicable as of 3 July, will ensure even more efficient, transparent and trustworthy European financial markets. This new rulebook, will increase investor protection and ... Read More

Former equities trader sentenced for insider dealing

Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. Between August ... Read More

Hong Kong: Two solicitors engaged in fraud

Court finds two solicitors engaged in insider dealing and fraud or deception The Court of First Instance today found that two solicitors, Mr Eric Lee Kwok Wa and Ms ... Read More

Former Moore Capital trader pleads guilty to insider dealing

In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting ... Read More
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