Insider trading
Countrywide chief executive hit with record fine
Mozilo agrees $22.5 million settlement with SEC over charges of misleading investors
Joseph Contorinis used inside information about mergers and acquisitions to execute trades
Effort by regulators to ban naked short-selling on financial stocks is misplaced, as market abuse from short-selling on small cap stocks based on insider information is a more real problem, says Lombard...
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How banks needs to consider their IT infrastructure
Banks are increasingly using their IT infrastructure to increase their competitive advantage. Learn how this can work in practice.
More Insider trading articles
UK FSA plays good cop, bad cop on insider trading
The UK Financial Services Authority is taking a hardline approach to insider trading, increasingly carrying out criminal investigations. But at the same time it is asking firms to work with it by providing information to build a bigger picture of what’s...
FSA toughens approach to insider dealing
LONDON – With its first-ever prosecution of an insider-dealing ring, the UK’s Financial Services Authority (FSA) wants to show it is serious about stamping out this type of market abuse. Its latest case targets seven people who are facing 13 criminal...
FSA fines Credit Suisse and two others £4.2m for transaction reporting...
Inadequate reporting systems and controls to prevent market abuse leads to £4.2m fines for three London firms.
UK Police and FSA launch biggest insider-dealing raid yet
Six men have been arrested in what the UK Financial Services Authority (FSA) has called its “largest-ever operation against insider dealing”. The regulator said the detained men are suspected of being involved in a sophisticated and long-running insider-trading...
UK FSA arrests insider dealers
LONDON – The UK Financial Services Authority (FSA) has arrested three men as part of an insider-dealing investigation. The City of London Police also searched four addresses in the UK capital. It is the fourth set of insider-trading arrests carried...
UK FSA fines Genel Enerji execs £1.16 million for market abuse
Three executives at Turkish oil company Genel Enerji have been fined a combined £1.16 million for market manipulation. The UK Financial Services Authority (FSA) says the senior managers used insider information to deal in the shares of UK-listed Heritage...
More arrests as FSA steps up fight against insider dealing
Three unnamed men were arrested yesterday in connection with an investigation by the UK’s Financial Services Authority (FSA) into suspected insider dealing, in a joint operation carried out by the regulator and the City of London Police Economic Crime...
Using market and credit risk analytics to strengthen performance
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Using market and credit risk analytics to strengthen performance
This white paper reviews the various steps banks are taking to improve their risk management techniques.
How financial services need to consider their IT infrastructure
The global credit crisis exposed the weaknesses inherent in the risk management and IT infrastructures employed by banks.
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