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The Trader Who Was Fined €14 Million for Insider Dealing
In the mid-2010s, a trader based in an EU country received what was at the time a record fine for insider dealing. The experienced investor...
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The Bank That Failed to Create and Populate Insider Lists
In the late 2010s, a large European bank released two public statements regarding high-profile departures from its senior management team. Both...
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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 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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Asset Management Company and its Owner Fined for Insider Dealing
The owner of an asset management company (hereafter referred to as Company A) admitted that both he and the business had committed insider dealing....
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AMF Issues Market Abuse Regulation Penalties Worth Millions of Euros in France
The Autorité des Marchés Financiers (AMF), France's financial markets authority, has imposed penalties totalling several million euros on three...
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