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The Price of Misconduct

Browse real-life case studies, examining the disastrous financial and reputational implications of insider trading, mistreatment and other forms of misconduct.

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When Delayed Disclosure of Inside Information Leads to Insider Dealing

A European biotech firm unlawfully delayed the disclosure of two pieces of inside information that could have proved detrimental to its share price....
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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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This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.
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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 Major 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 Perils 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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