Head of an investment firm now sentenced to 25 years in prison for market manipulation
Ra Deok-yeon, the head of an unregistered investment consulting firm, was sentenced to 25 years in prison for orchestrating a massive stock manipulation scheme in South Korea.
Regulators now impose investigation into JPMorgan for illegal short selling
In a recent crackdown, financial supervisory authorities imposed fines on four major global investment banks—Nomura Securities, JPMorgan, UBS, and Morgan Stanley—for violations related to short selling regulations. This incident shines a spotlight on the…
SEC Commissioner laments agency’s decision to fight against CAT system
SEC Commissioner Caroline A. Crenshaw expresses concerns over SEC's decision to scale back the vital Consolidated Audit Trail (CAT) system.
Prosecutors now indict 3 traders for naked short selling
Discover why South Korean prosecutors are cracking down on naked short selling and how it could impact the global financial markets.
SEC now delays short sale disclosure rules for another year
Stay informed about the latest regulatory developments. SEC delays compliance deadline for new short sale reporting rules.