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- Insider Trading
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 Whistleblower Who Exposed the Multinational’s Misconduct-Fuelled Expansion
In 2022, a former high-ranking official at a major tech firm leaked 124,000 confidential documents to a newspaper that shared the information with...
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The Company Failures That Led to Salmonella in Babies
A dairy company’s failure to act on information about long-standing contamination in a partner organisation’s factory led to babies displaying...
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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 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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