List of detected cases of the misuse of insider information and market manipulation (market abuse)
| № | Release date | Type | Marks | Instruments | Offenders | Period of activity | Measures taken |
|---|---|---|---|---|---|---|---|
| 62 | 16.11.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of price and/or volume parameters of trades in shares | Ordinary shares PAO National Developer Company | Clients of AO IK Eltra Zhukovskaya O.A., Tarasova R.O., employee of AO IK Eltra Okhremenko A.V. | March 2015 — June 2015 | Prescriptive orders provided to Zhukovskaya O.A., Tarasova R.O., Okhremenko A.V. in order to prevent committing similar violations in future |
| 61 | 20.10.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of selling and buying rates, price and volume parameters of trades in shares | Ordinary shares of OAO Zhivoy Office | OOO Priboy, OOO Modern, OOO Eurofinance, OOO Vershina, Khitrova M.S., Romanov D.A., Buchinskaya B.Yu., Savuk S.Yu., Sorokin N.S., Malyarenko E.I., Voevodin M.M., Tolmachev M.A., Vasilieva O.V., Zakrevskaya Рў.Рђ., Degteva V.N., Rudaeva A.V., NeverovR., Lapina S.A., Makarova E.S., Samokhina E.B., Stremeldovsky D.V., Lapin K.V. | January 2014 — January 2015 | Professional financial market specialist qualification certificates issued to Lapin K.V., Roshchin S.V., Novikova L.I., Okhremenko A.V. revoked. Professional financial market specialist qualification certificates permitting broker and dealer activity issued to AO IK Eltra revoked. Prescriptive orders provided to OOO Eurofinance, Romanov D.A., Buchinskaya B.Yu., Savuk S.Yu., Sorokin N.S., Malyarenko E.I., Voevodin M.M., Tolmachev M.A., Vasilieva O.V., Zakrevskaya Рў.Рђ., Degteva V.N., Rudaeva A.V., NeverovR., Lapina S.A., Makarova E.S., Samokhina E.B., Stremeldovsky D.V., Khitrova M.S. in order to prevent committing similar violations in future. The Bank of Russia advised ZAO FB MMVB consider shares’ delisting |
| 60 | 11.10.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of selling and buying rates and volume parameters of trades in shares | Ordinary shares PAO Tuchkovsky KSM | BLUBBERSTAR LIMITED, SKAVADOS ENTERPRISES LIMITED | February 2012 — September 2013 | Prescriptive orders provided to BLUBBERSTAR LIMITED, SKAVADOS ENTERPRISES LIMITED in order to prevent committing similar violations in future |
| 59 | 30.09.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of parameters of trades in bonds | Exchange bonds of OOO Lease financing company URALSIB of fifth, tenth and eleventh issue | OOO SPECTRON-CITY (tax identification number (INN) 7736639720), AO UK URALSIB (tax identification number (INN) 7702172846) | February 2012 — August 2015 | Qualification certificates of Belonoshchenko Yu.O., Zizikova T.N., Korolenko A.V., Markin A.Yu. revoked. Prescriptive orders provided to OOO URALSIB CAPITAL — Financial services, OOO SPECTRON CITY, AO UK URALSIB in order to prevent committing similar violations in future |
| 58 | 25.08.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of selling and buying rates, price and volume parameters of trades in shares | Ordinary shares of PAO MOSENERGO, ordinary shares Polymetal International plc, ordinary shares PAO AKRON, ordinary shares of PAO AK ALROSA, ordinary shares of PAO AEROFLOT, ordinary shares of PAO ANK BASHNEFT, preference shares of PAO ANK BASHNEFT, ordinary shares of PAO GAZPROM NEFT, ordinary shares of PAO INTER RAO, ordinary shares of PAO M.VIDEO, ordinary shares of PAO MegaFon, ordinary shares of OAO MMK, ordinary shares of PAO Moscow Stock Exchange, ordinary shares of PAO MTS, preference shares of PAO NIZHNEKAMSKNEFTEKHIM, ordinary shares of PAO NLMK, ordinary shares of OAO NOVATEK, ordinary shares of PAO OGK-2, ordinary shares of PAO POLUS, ordinary shares of OAO Raspadskaya, ordinary shares of PAO ROSSETI, ordinary shares of PAO Rostelecom, preference shares of PAO Rostelecom, Russian depositary receipts issued on shares of United Company Rusal Plc, ordinary shares of PAO RusHydro, ordinary shares of PAO SEVERSTAL, ordinary shares of PAO SOLLERS, preference shares of PAO SURGUTNEFTEGAS, ordinary shares of PAO TATNEFT named after V.D. Shahin, preference shares of PAO TATNEFT named after V.D. Shashin, preference shares of PAO TRANSNEFT, ordinary shares of PAO Uralkalium, ordinary shares of PAO FOSAGRO, ordinary shares of PAO FSK EES, ordinary shares of OAO E.ON Russia, preference shares of PAO Sberbank, ordinary shares of PAO NIZHNEKAMSKNEFTEKHIM | PAO Baltinvest, Kornilova N.N., Kornilov A.N., Govorov P.M., Smirnova M.V. | January 2014 — August 2015 | Inspection results submitted to law authorities. Professional financial market specialist qualification certificates issued to Kornilov Andrey Nikolaevich revoked. Administrative proceedings regarding persons involved in market manipulation. Prescriptive orders provided in order to prevent committing similar violations in future |
| 57 | 29.07.2016 | Market manipulation | Performing on prior agreement a serious of mutual transactions in shares resulted in significant fluctuations of selling and buying rates, price and volume parameters of trades in shares | Ordinary shares of OAO Uralskaya kuznitsa, ordinary shares of PAO Chernogorneft, ordinary shares of PAO Kovrovsky mechanichesky zavod, ordinary shares of PAO Saratovsky neftepererabatyvayushchy zavod, ordinary shares of PAO Novorossiysky morskoy torgovy port, preference shares of PAO Rosseti | Zhilyaev Yu.A. Zhilyaev A.I. | May — September 2015 | Administrative proceedings. Prescriptive orders provided to Zhilyaev Yu.A. and Zhilyaev A.I. in order to prevent committing similar violations in future |
| 56 | 08.07.2016 | Market manipulation | On establishing a fact of market manipulation involving preference shares of PAO Chelyabenergosbyt | Preference shares of PAO Chelyabenergosbyt | Smolkin F.N., Chizhenkov A.Yu. | September — October 2013 | Prescriptive orders provided to Smolkin F.N. and Chizhenkov A.Yu. in order to prevent committing similar violations in future |
| 55 | 22.06.2016 | Ordinary shares market manipulation | The РћРђРћ ‘SEMZ’ ordinary shares trading activity was mainly maintained by the following interconnected entities: the issuer itself, a number of legal entities, including non-residents, and two natural persons. The trades were conducted in collision with a view to misleading a wide range of investors regarding price and liquidity of the shares | РћРђРћ ‘SEMZ’ ordinary shares | РћРђРћ ‘SEMZ’, РћРћРћ ‘Dekom’, Skubak V.M., Karmanov I.G., BLUBBERSTAR LIMITED, SKAVADOS ENTERPRISES LIMITED, Transcube Communications GmbH, Vionmane LTD | December 2011— December 2013 | РћРђРћ ‘SEMZ’, Skubak V.M., Karmanov I.G., BLUBBERSTAR LIMITED, SKAVADOS ENTERPRISES LIMITED, Transcube Communications GmbH, Vionmane LTD have been given a notice of refraining from any further violations similar to those indicated herein |
| 54 | 01.06.2016 | Investment units market manipulation | The ZPIF investment units trading activity was mainly maintained by the following interconnected entities: Gusev A.A., Maryechkin D.I., Mikhailov D.A., Guseva I.I., Boyko Yu.I., Kharitonov D. E., Kudryavtsev E.P. and OAO ‘SMART Broker’ | Real estate ZPIF ‘Avex Real Estate’ investment units | Gusev A.A., Maryechkin D.I., Mikhailov D.A., Guseva I.I., Boyko Yu.I., Kharitonov D. E., Kudryavtsev E.P. | October2014 — April 2015 | Gusev A.A., Maryechkin D.I., Mikhailov D.A., Guseva I.I., Boyko Yu.I., Kharitonov D. E., Kudryavtsev E.P. have been given a notice of refraining from any further violations similar to those indicated herein |
| 53 | 17.03.2016 | Market manipulation of bonds | During the period from December 2013 to April 2015 the series of mutual transactions in the bonds were effected between the following interconnected entities: Romanova P.V.; Zhilstroy, LLC (OOO Zhilstroy); AVK, LLC (OOO AVK); Rotor, LLC (OOO Rotor); Rentek, LLC (OOO Rentek); Promaktiv, PJSC (PAO Promaktiv); Permtransmekhanizatsiya, LLC (OOO Permtransmekhanizatsiya) | Bonds of STP, LLC (РћРћРћ STP) | Romanova P.V., AVK, LLC (OOO AVK), Promaktiv, PJSC (PAO Promaktiv), Zhilstroy, LLC (РћРћРћ Zhilstroy), Rentek, LLC (РћРћРћ Rentek), TSK-1, LLC (OOO TSK-1) | April 20, 2015- April 27, 2015 | Administrative penalties imposed |
| 52 | 17.03.2016 | Market manipulation of investment units | During the period from January 2013 to April 2015 the trading activity of the ZPIF investment units was mainly maintained by the following interconnected entities effecting transactions in collusion: AVK, LLC (OOO AVK); Zhilstroy, LLC (OOO Zhilstroy); Rentek, LLC (OOO Rentek); TSK-1, LLC (OOO TSK-1); Promaktiv, PJSC (PAO Promaktiv) | Investment units of the real estate ZPIF Rodnie Prostory | AVK, LLC (OOO AVK); Zhilstroy, LLC (OOO Zhilstroy); Rentek, LLC (OOO Rentek); TSK-1, LLC (OOO TSK-1); Promaktiv, PJSC (PAO Promaktiv) | April 20, 2015- April 27, 2015 | Administrative penalties imposed |
| 51 | 11.02.2016 | Units market manipulation | The trading activities in the market of investment units of ZPIF rental Zemli Podmoskovya (Closed-End Rental Unit Investment Fund Zemli Podmoskovya) were almost entirely maintained by the folloing entities: OOO IK DC Capital (Investment Company DC Capital) and OOO UNIVER Kapital (UNIVER Capital LLC). | Investment units of Closed-End Rental Unit Investment Fund Zemli Podmoskovya | IC DC Capital LLC and UNIVER Capital LLC | From March 2013 to June 2014 | The license authorizing professional activity in the securities market held by IC DC Capital LLC was revoked Financial market qualification certificates held by Alexander Robertovich Dushek, Sergey Borisovich Shin and Natalya Borisovna Gavrilova were revoked |
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Last updated on: 16.11.2016