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- Whistleblowing
The Whistleblower Smeared in the Press for Raising Greenwashing Concerns
An EU-based asset management company employed a new Group Sustainability Officer. However, she found that the company was vastly overreporting the...
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The Energy Company That Failed to Publish Inside Information
The requirement to publish inside information immediately is essential to the fair running of both the financial and energy markets. In this case,...
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The Investment Bank That Failed to Stop Insider Dealing
An EU-based office of a global investment bank was fined nearly €200,000 for failing to prevent an employee from conspiring in multiple acts of...
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Employee Personal Trading on Inside Information at Asset Management Firm
A senior fund manager at a European asset management firm was found to have been front-running his company’s trades to make more than €8 million in...
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Delayed Disclosure of Inside Information and The Risks of a Permanent Insider List
A Swedish issuer received a penalty of more than SEK 1 million (€88,290). The company was found to have failed to publish inside information as soon...
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The Tax Rebate Scheme That Cost Countries Billions
In the early-2010s, a tax official in a European country, referred to as Country A in this anonymised case study, noticed an unusually large number...
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Fraud Within a Sporting Organisation
The vice-president (hereafter referred to as Person A) of an international sporting body based in the European Union (Company A) and president of a...
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Ignoring the Mistreatment of Women
In the spring of 2021, a prominent investment bank incurred a loss of US$5.5 billion relating to the default of a capital management firm with which...
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The Draft Press Releases and the Insider Fined €700,000
Inside information is described in the Market Abuse Regulation (MAR) as “information of a precise nature, which has not been made public, relating,...
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