The United States (US) Attorney's Office for the Southern District of New York (the Office) has announced that the US District Court has sentenced SAC Capital Advisors and other entities associated with affiliated hedge funds known collectively as the SAC Hedge Fund, after they pleaded guilty to insider trading.
The United States (US) Securities and Exchange Commission (SEC) has announced that it has reached settlements with the following individuals (both filed 31 March 2014) in separate insider trading cases:
The Australian Securities and Investments Commission (ASIC) has announced that three individuals have been convicted and sentenced for their roles in an insider trading scheme.
The New York State Office of the Attorney General (OAG) has announced that major news distribution and reporting company Marketwired has agreed to stop selling "information that Marketwired distributes on behalf of clients" to high-frequency traders in direct feeds. According to the OAG, high-frequency trading firms had been able to "take advantage of the sub-second difference between the time when Marketwired released information directly to its subscribers and the time when various news aggregators were able to receive and deliver that information to the broader market".
The Australian Securities and Investments Commission (ASIC) has released Report 386 - ASIC supervision of markets and participants: July to December 2013 (March 2014), which "summarises key operational statistics and outcomes of ASIC's market and participant supervisory functions in relation to [Australian market licensees] for the period 1 July  to 31 December 2013".
The Hong Kong (HK) Securities and Futures Commission (SFC) has announced that former CITIC Pacific Ltd (CITIC Pacific) finance assistant director Simon Chui Wing Nin has pleaded guilty to "two counts of insider dealing in the shares of CITIC Pacific", and has been sentenced to nine months' imprisonment and fined HK$612,000.
The Australian Securities and Investments Commission (ASIC) has released Report 383 - ASIC enforcement outcomes: July to December 2013 (January 2014), which outlines enforcement outcomes achieved by ASIC between 1 July - 31 December 2013. In that period, ASIC achieved 340 enforcement outcomes, including criminal, civil and administrative actions, as well as negotiated outcomes such as enforceable undertakings.
The United States (US) Financial Industry Regulatory Authority (FINRA) has announced that it has barred two brokers "from the securities industry for their roles in an insider trading scheme". FINRA's Complaint (17 May 2013) alleges that JPMorgan Securities conflicts office vice president David Gutman and former Meyers Associates registered representative Christopher Tyndall took part in "a massive, serial insider trading scheme that generated more than [US]$9 million in profits by persons who traded in advance of the public announcements of 15 corporate mergers and acquisitions".
The Hong Kong (HK) Securities and Futures Commission (SFC) has made available Towards better corporate governance (12 December 2013), a speech delivered by SFC chairperson Carlson Tong at the Chamber of Hong Kong Listed Companies 11th anniversary gala dinner.
The Hong Kong (HK) Securities and Futures Commission (SFC) has announced that the Court has ordered former Morgan Stanley Asia Ltd managing director Du Jun to pay 297 investors a total of HK$23.9 million (approximately US$3.1 million/€2.2 million) in restitution "as a result of his insider dealing in shares" over a two-and-a-half-month period in 2007.
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