Regulatory Alerts2014-07-24
Added · Updated
Communiqué on Obligation of Notification Regarding Insider Trading or Manipulation Crimes
The Capital Markets Board mandates that investment firms notify the Board of any suspicious transactions implying insider trading or manipulation crimes. These notifications must be submitted in writing within five business days and include comprehensive evidence such as identification data, call recordings, and transaction details. The regulation establishes strict confidentiality protections for informants and requires firms to retain related documents for eight years.
Topics
market-abuse
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