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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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Jail and €2 Million in Fines For Two Executives Guilty of Insider Dealing
Two European executives were found to have committed insider dealing, following an extensive investigation by their home country’s financial...
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When Public Disclosure Wipes Billions From a Company’s Value
A European retailer lost nearly €2 billion from its value in three months following a journalistic investigation into its poor working conditions,...
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The Bankers Who Spoofed Orders to Move the Markets
Two European bankers (Person A and Person B) were found guilty of manipulating the price of precious metals during their employment with an EU-based...
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The Fraud That Led to Restrictions on Employee Personal Trades
Employees at a European financial regulator (Organisation A) were subject to stringent employee personal trade monitoring procedures following the...
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The Bank Accused of Having a Problem With Front-Running
A European person, known hereafter as Person A, was found to have defrauded a client (Company A) of the major international bank (Company B) for...
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When Suspicious Trading Leads to a Conviction for Insider Trading
A man admitted in court that he made trades in the shares of a pharmaceutical company (Company A) based on protected information, becoming the first...
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The Importance of Understanding What is Inside Information
A European energy company (Stakeholder A) was fined nearly €2.5 million after it unlawfully delayed the disclosure of inside information. The company...
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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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