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 |
|---|---|---|---|---|---|---|---|
| 73 | 13.12.2017 | Securities market manipulation | Performance of transactions with certain securities by prior agreement leading to a significant deviation of trading parameters | Ordinary shares of PJSC Novatek, PJSC Uralkali, VTB Bank PJSC, PJSC Moscow Exchange, PJSC ALROSA, PJSC INTER RAO, PJSC LSR Group, PJSC Mosenergo, PJSC MOESK, PJSC MTS, PJSC PhosAgro, PJSC Rostelecom, PJSC Tatneft, PJSC TMK, PJSC MRSK Tsentra, PJSC MRSK Tsentra i Privolzhya, PJSC Enel Russia, Polymetal International plc, PJSC TGK-1, PJSC Aeroflot, PJSC DIXY Group, PLLC Yandex N.V., PJSC AFK Sistema, PJSC Oil Company Bashneft, PJSC Bank Saint Petersburg, PJSC Unipro, PJSC Mining and Metallurgical Company Norilsk Nikel, PJSC Irkutskenergo, PJSC MMK, PJSC MegaFon, PJSC Mostotrest, PJSC NLMK, PJSC OGK-2, PJSC Polyus, PJSC Raspadskaya, PJSC OC Rosneft, PJSC Gazprom Neft, OJSC Surgutneftegaz; preferred shares of PJSC Sberbank, PJSC Rostelecom, PJSC Tatneft, PJSC Oil Company Bashneft; depositary receipts of Lenta Ltd, United Company RUSAL PLC, ROS AGRO PLC; federal government bonds OFZ 46018 | E.N. Tarubarov, S.N. Tarubarova | from July 2014 to March 2017 | Materials were sent to law enforcement authorities; qualification certificates of financial market specialist issued to E.N. Tarubarov were cancelled. |
| 72 | 06.12.2017 | Securities market manipulation | Performance of equity transactions by prior agreement leading to a significant deviation of trading parameters. | Ordinary shares of PJSC GC TNS Energo | Yu.L. Ivlev, LLC GARANT ENERGO, LLC Voronezhsbyt, D.V. Raskopin | from 17.06.2015 to 21.10.2016 | Dispatch of orders aimed at preventing similar violations in future |
| 71 | 23.11.2017 | Securities market manipulation | Performance of a number of mutual equity transactions by prior agreement leading to a significant deviation of trading parameters | Ordinary shares of PJSC ISKCh, PJSC Rostelecom, PJSC ChZPSN-Profnastil, PJSC JSCB AVANGARD, PJSC Volgogradenergosbyt, PJSC ETS, PJSC Vladimirenergosbyt; preferred shares of PJSC Volgogradenergosbyt | V.G. Prokhor, Alpari LLC | from August 2015 to December 2015 | Orders were sent to V.G. Prokhor and Alpari LLC aimed at preventing similar violations in future |
| 70 | 16.11.2017 | Securities market manipulation | Performance of transactions with shares and bonds by prior agreement leading to a significant deviation of trading parameters. | Ordinary shares of OJSC MMK; the following issues of bonds: series 03 bonds of JSC HC Metalloinvest, series 05 bonds of JSC Otkritie Holding, series BO-02 bonds of PJSC B&N Bank, series BO-01 bonds of PJSC PIK Group, series BO-05 bonds of PJSC TMK | D.M. Sheinin, I.V. Mulyavko | from 12.05.2015 to 01.11.2016 | Inspection materials were sent to law enforcement authorities. Qualification certificates of financial market specialist issued to D.M. Sheinin and I.V. Mulyavko were cancelled. |
| 69 | 11.10.2017 | Securities market manipulation | Performance of transactions with 31 securities by prior agreement leading to a significant deviation of trading volume of such securities | Ordinary shares of PJSC Mosenergo, ordinary shares of PJSC Acron, ordinary shares of VTB Bank PJSC, ordinary shares of PJSC Gazprom Neft, ordinary shares of PJSC Gazprom, ordinary shares of PJSC Mining and Metallurgical Company Norilsk Nikel, ordinary shares of PJSC INTER RAO, ordinary shares of PJSC LUKOIL, ordinary shares of PJSC Mechel, ordinary shares of OJSC MMK, ordinary shares of PJSC MTS, ordinary shares of PJSC NLMK, ordinary shares of OJSC NOVATEK, ordinary shares of PJSC OGK-1, ordinary shares of PJSC OGK-2, ordinary shares of PJSC OGK-3, ordinary shares of PJSC POLYUS, ordinary shares of PJSC ROSSETI, ordinary shares of PJSC OC Rosneft, ordinary shares of PJSC Rostelecom; preferred shares of PJSC Rostelecom, ordinary shares of PJSC RusHydro, ordinary shares of PJSC Sberbank, ordinary shares of PJSC SEVERSTAL, ordinary shares of OJSC SURGUTNEFTEGAZ, preferred shares of OJSC SURGUTNEFTEGAZ, ordinary shares of PJSC TATNEFT, ordinary shares of PJSC Uralkali, ordinary shares of PJSC FSK UES, ordinary shares of PJSC Unipro | A.Kh. Lyulinsky, PJSC AK BARS BANK, JSC Management Company AK BARS Finans — the trustee of PJSC AK BARS BANK | from March 2011 to December 2016 | The materials of the inspection have been submitted to law enforcement agencies. Qualification certificates of financial market specialist issued to A.Kh. Lyulinsky were cancelled. |
| 68 | 27.09.2017 | Market manipulation | Performance of transactions with investment units by prior agreement leading to a significant deviation of price and volume of trading in such units | Units of Closed-end Annuity Fund Kolchuga managed by LLC UNIVER Management, Closed-end Hybrid Fund Tekhnologia Rosta, Closed-end Equity Fund Universalnye Strategii, Closed-end Equity Fund Otraslevye Investitsii managed by CJSC Management Company EMERALD GROUP | LLC UNIVER Management, LLC Asset Management Agency Impuls, LLC Investment Company D C Capital, LLC Centrum Depository, LLC Custody Technology and LLC HeliosGroup | from 04.07.2012 to 05.11.2015 | Cancellation of the professional licence of LLC UNIVER Management. Cancellation of the professional securities market participant’s licence and investment / unit investment / non-governmental pension fund management licence of LLC Asset Management Agency Impuls. Qualification certificates of financial market specialist issued to E.A. Evgenova, Yu.V. Minaev and M.A. Sapatova were cancelled. |
| 67 | 22.08.2017 | Market manipulation | Performance of equity transactions by prior agreement leading to a significant deviation of trading volume | Ordinary shares of PJSC MRSK Severnogo Kavkaza and preferred shares of PJSC Permskaya Energosbytovaya Kompaniya | K.Yu. Kotov, Yu.A. Kotova | 27.07.2015 | Dispatch of orders aimed at preventing similar violations in future |
| 66 | 20.07.2017 | Market manipulation | Performance of a number of mutual transactions with bonds by prior agreement leading to a significant deviation of the price of such bonds. | GazpromKO4, ALROSA BO1, ALROSA BO2, Alpha BO-7, Alpha BO-9 and Bashneft 07 bonds | MSP-72 JSC and ZAKAZCHIK-L LLC | April 2014, August 2015 | Measures aimed at preventing similar violations in future were taken. Reports on the operations of MSP-72 and ZAKAZCHIK-L were submitted to the FTS. |
| 65 | 05.07.2017 | Market manipulation | Performance of a number of mutual equity transactions by prior agreement leading to a significant deviation of trading parameters. Repeated performance of equity transactions during a number of trading days aimed at misleading of investors as to the price of the shares | Ordinary shares of PJSC GC Rollman | LLC KC Magistr, CJSC PG Edelveis, LLC EUROFINANCE, A.A. Vorobiev, O.M. Vorobieva, A.A. Gusev, D.I. Maryechkin, N.A. Stavnichuk, F.N. Burchikhin, Yu.V. Arkhangelsky, D.A. Romanov, N.A. Adylova, V.N. Degteva, M.M. Voevodin, A.G. Golikhin, N.S. Sorokin, Yu.Yu. Buchinskaya, M.A. Tolmachev, D.V. Stremedlovsky, S.Yu. Savuk | from February 2013 to March 2016 | Dispatch of orders aimed at preventing similar violations in future. Imposition of administrative sanctions on persons involved in market manipulation. |
| 64 | 27.04.2017 | Market manipulation | Performance of mutual transactions with securities by prior agreement leading to a significant deviation of their demand and supply, price and volume of trading | Series 13, 14, 17, 18, and 19 bonds of OJSC Mechel, units of closed-end real estate unit investment fund Arsagera — Zhilishnoe Stroitelstvo | V.V. Grevtsev, FinEco LLC and OJSC Investbank BZL | from July 2014 to August 2015 | Qualification certificate of financial market specialist issued to V.V. Grevtsev was cancelled. Dispatch of order to FinEco LLC aimed at preventing similar violations in future. Inspection materials were sent to law enforcement authorities |
| 63 | 16.03.2017 | Misuse of insider information | Insiders of PAO AFK Systema (hereinafter — the Company) Buyanov A.N., Goncharuk A.Yu. and Nosova N.K., having misused insider information, carried out transactions with the Company’s ordinary shares in their possession that allowed the said persons to avoid losses | Ordinary shares of PAO AFK Systema | Buyanov A.N., Goncharuk A.Yu., Nosova N.K. | July 2014 | Inspection results submitted to law authorities. Prescriptive orders provided in order to prevent committing similar violations in future |
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Last updated on: 13.12.2017