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- Insider Trading
The Biotech Firm That Withheld Inside Information
A European biotech company was fined half a million euro, with two directors also receiving six-figure sanctions. The local regulator, AMF, found it...
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The CEO Who Bought Shares Ahead of His Own Appointment
The incoming CEO of a European Union-based sports team bought shares in the publicly listed club before his new role was announced, sparking...
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The Company That Received a Sanction for Insider List Discrepancies
A European drinks company received a sanction from its national regulator for failing in its duties to properly maintain insider lists. It followed...
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Failure in Trade Surveillance Costs Broker €14 Million
An international institutional brokerage firm was fined around €14 million for failing to meet the trade surveillance requirements of the Market...
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Failure to Act in the Best Interests of Clients Leads to More Than €35 Million in Sanctions
Three individuals from the financial sector were found to have manipulated the markets and breached their professional obligations by the regulator...
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The Sports Governing Body That Went Public With Its Investigation
A European-based world governing body of a sport (Organisation A) went public with an investigation into the leader (Person A) of one of its teams...
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The Bank Fined for Forgetting to Report on PDMR Trades
A European bank (Company A) was fined by its country’s regulator following a share issue in which management figures were offered the chance to...
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The Director Who Traded During a Closed Period
A professor who served on the board of a European software vendor was fined €60,000 for trading in the company’s shares during a closed period. The...
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The Whistleblower Jailed for Revealing the Misuse of Public Money
In the mid-2010s, an official at a trade union in a European country became suspicious about the misuse of funds that had been designated to support...
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