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 |
|---|---|---|---|---|---|---|---|
| 104 | 26.12.2019 | Market manipulation | Prearranged stock transactions which led to significant deviations in stock trading parameters | Shares of a foreign issuer Yandex N.V. Shares of PJSC Akron Shares of VTB Bank (PJSC) Shares of PJSC GAZPROM Shares of PJSC MMC Nornickel Shares of PJSC DIXI Group Shares of PJSC MegaFon Shares of PJSC Magnitogorsk Iron & Steel Works Shares of PJSC Moscow Exchange Shares of PJSC MTS Shares of PJSC Raspadskaya Shares of PJSC ROSSETI Preferred shares of PJSC Sberbank Preferred shares of Surgutneftegaz | Andrey S. Suluyanov, Anton G. Chvirov, CJSC Lider, LLC Management Company Severyanka (currently, LLC Severyanka), | 13.11.2014 — 23.03.2015 | Sending orders aimed at preventing similar violations in the future: Andrey S. Suluyanov, Anton G. Chvirov, CJSC Lider, LLC Severyanka. The Bank of Russia sent the documents on the investigation to the law enforcement bodies. |
| 103 | 05.12.2019 | Market manipulation | Prearranged transactions with FX instruments which led to significant deviations in trading parameters of FX instruments | FX instruments USDRUB_TOM and EURRUB_TOM | Nikolay V. Bychkov, Fengda Trading Ltd | 13.04.2018 — 13.06.2018 | Orders to avoid similar violations in the future were sent to Nikolay V. Bychkov, Fengda Trading Ltd, State Development Corporation VEB.RF. The Bank of Russia sent the documents on the investigation to the law enforcement bodies. |
| 102 | 04.12.2019 | Market manipulation | Prearranged transactions with units, including with the purpose of deceit as to the unit price | Investment units of Closed-end Rental Unit Investment Fund Holy Land (ISIN: RU000A0JVUU7) and Closed-end Rental Unit Investment Fund Kottedzhio Park (ISIN: RU000A0JUUC7) managed by LLC Asset Management Solutions | LLC Cataris Capital (TIN 7733224572), LLC Canopus Finance (TIN 5406771420), LLC Investment Company Energyiya Sintez (TIN 7702626754), LLC Investment Company Averazh Ltd (TIN 2635107776), LLC Managing Partner Cross Finance Group (TIN 7718309373), HAYFOLD COMPANY LTD (HE 313274), V.V. Oparin, Yu.G. Sokolov, A.V. Shakirov, N.V. Bushuev, E.V. Golubovich, A.V. Grishin, A. Margolis, V.V. Shakirov, A.A. Shchepelev, A.V. Yakovlev, D.A. Malakeev, A.A. Movsesyan and R.S. Volkov | October 2014 — July 2018 | Orders to avoid similar violations in the future were sent to LLC Cataris Capital (TIN 7733224572), LLC Canopus Finance (TIN 7733224572), LLC Investment Company Energyiya Sintez (TIN 5406771420), LLC Investment Company Averazh Ltd (TIN 2635107776), LLC Managing Partner Cross Finance Group (TIN 7718309373), HAYFOLD COMPANY LTD (HE 313274), V.V. Oparin, Yu.G. Sokolov, A.V. Shakirov, N.V. Bushuev, E.V. Golubovich, A.V. Grishin, A. Margolis, V.V. Shakirov, A.A. Shchepelev, A.V. Yakovlev, D.A. Malakeev, A.A. Movsesyan and R.S. Volkov |
| 101 | 27.11.2019 | Market manipulation | Prearranged stock transactions which led to significant deviations in stock trading parameters | Ordinary shares of PJSC Seligdar (ISIN: RU000A0JPR50) | LLC Insurance Company TIT (TIN: 7714819895 ) LLC Management Company RFC-Capital (TIN: 7444036805) | 18.09.2017 — 27.09.2017 | Orders to avoid similar violations in the future were sent to LLC Insurance Company TIT and LLC Management Company RFC-Capital |
| 100 | 22.11.2019 | Market manipulation | Prearranged transactions with units which led to significant deviations in unit trading parameters | Units of Real Estate CUIF Arshin managed by CJSC Management Company Diana (ISIN: RU000A0JUN16) | LLC Agro Capital (TIN: 5007058270), PJSC Montazh (TIN: 5056000107), LLC Teplo-Service (TIN: 7721781963), LLC OZP (TIN: 7704255819) | 27.08.2014 — 27.06.2016 | Orders to avoid similar violations in the future were sent to LLC Agro Capital, PJSC Montazh, LLC Teplo-Service and LLC OZP. |
| 99 | 25.10.2019 | Market manipulation | Performance of equity transactions in collusion that caused substantial deviations in the stock trading volume | Ordinary shares of PJSC IDGC of Centre (ISIN RU000Рђ0JPPL8) | A. Balushkin, S. Balushkina | 13.07.2018 and 29.08.2018 | Administrative sanctions imposed against A. Balushkin and S. Balushkina Orders to avoid similar violations in future sent to A. Balushkin and S. Balushkina |
| 98 | 25.10.2019 | Market manipulation | Performance of unit transactions in collusion that caused substantial deviations in the unit trading volume | Investment units of rental closed-end unit investment fund Key Business Model — Alfa (ISIN: RU000A0JS868) | VIP Universal LTD DeltaFabrika LLC Evrogrup LLC GM Realt LLC Interfinance MC LLC | 22.07.2015 — 07.09.2015 | Orders to avoid similar violations in future sent to VIP Universal LTD, GM Realt LLC, and Interfinance MC LLC |
| 97 | 24.10.2019 | Market manipulation | Performance of equity transactions in collusion that caused substantial deviations in the stock trading volume | Ordinary and privileged shares of PJSC Mechel (ISIN: RU000A0DKXV5; RU000A0JPV70), ordinary shares of PJSC Irkutskenergo (ISIN: RU0008960828) | Roman Sinitsin, Andrey Sinitsin, Anna Sinitsina | February — May 2017 | Roman Sinitsin’s qualification certificates invalidated Orders to avoid similar violations in future sent to Roman Sinitsin, Andrey Sinitsin and Anna Sinitsina |
| 96 | 27.06.2019 | Market manipulation | Misuse of insider information when performing equity transactions Deliberate dissemination of misleading information resulting in a significant deviation of trading parameters of shares from the level that would have otherwise emerged | Ordinary shares of OJSC JSC TRANSAERO | Pleshakov Aleksandr Petrovich Anodina Tatiana Grigorievna | 02.11.2016-19.12.2016 | Inspection materials were sent to law enforcement agencies |
| 95 | 27.06.2019 | Market manipulation | Performance of equity transactions by prior agreement leading to a significant deviation of trading parameters | Ordinary shares of OJSC JSC TRANSAERO | Jeimbo Cyprus Limited Otkritie Advisory Services Limited | 2014-2015 | Issuing order aimed at preventing similar violations in future |
| 94 | 13.06.2019 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Ordinary shares of PJSC Best Efforts Bank | Igor Muratovich Takoev, Snezhana Aleksandrovna Zhdanova, Gennady Sergeevich Stefanov, Boris Vladimirovich Kaminsky, Oksana Vladimirovna Tolda, Anton Yurievich Logachev, Irina Nikolaevna Vishnyakova, Egor Vladimirovich Kapitanov, and Elena Nikolaevna Surzhikova | from 22.12.2016 till 21.05.2018 | Imposition of administrative sanctions; issuing orders aimed at preventing similar violations in future. |
| 93 | 30.05.2019 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Series BO-01 and BO-02 bonds of JSC Poliplast, PJSC Geotech Seismic Services, Far-Eastern Shipping Company Plc., Series BO-03 and Series BO-05 bonds of JSC Mir Stroitelnykh Tekhnologiy, JSCB NOVIKOMBANK, Issue 6 bonds of JSC Stroitelnoye Upravleniye 155 Kapital, Series BO-2 bonds of CB Bank 03, PJSC Territorial Generation Company No. 2, Series BO-02 bonds of TRANSAERO, Series 01 bonds of Hortex-Finance, as well as Series 02 bonds of the Government of the Belgorod Region, the Volgograd Region, the Voronezh Region, the Republic of Mordovia, and the Republic of Khakassia | Vladislav V. Fedorin, Olga A. Averyanova, Anna S. Zakharova, Pavel V. Kiselev | 1 October 2011 — 22 September 2017 | Qualification certificates issued to V.V. Fedorin were cancelled. Orders aimed at preventing similar violations in the future were sent to Vladislav V. Fedorin, Olga A. Averyanova, Anna S. Zakharova, Pavel V. Kiselev |
| 92 | 22.05.2019 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Ordinary shares of PJSC ASKO INSURANCE | OK-Finance LLC, Gleb Ivanov, Artem Kryukov, Arseny Bakaev, Mikhail Del, Mikhail Dobrovolskiy, Sergey Grigoriev, Elena Zhuravleva, Ivan Fait, Igor Zvonarev, Svetlana Ivanova, Aleksandr Chernyshov | from 11 July 2017 till 27 April 2018 | Imposition of administrative sanctions; dispatch of orders aimed at preventing similar violations in future |
| 91 | 30.04.2019 | Market manipulation | Transactions with the ordinary shares of PJSC RPC UWC between GTCP TRADING LTD and GorTec Management Ltd aimed at maintaining their prices and trading volume | Ordinary shares of PJSC RPC UWC | GTCP TRADING LTD, GorTec Management Ltd, Aleksey S. Dokuchaev | October 2016 — May 2017 | Qualification certificate of financial market specialist issued to A.S. Dokuchaev was cancelled. Issuing orders aimed at preventing similar violations in future. Inspection materials were sent to law enforcement authorities |
| 90 | 25.04.2019 | Market manipulation | Operations suggestive of a prior agreement in the bond markets between KIT Finance Trade (LLC) and TRINFICO Asset Management JSC, acting as the trust manager of pension savings of INPF AKVILON OJSC | Series BO-09 bonds of JSC Alfa-Bank, series 06 bonds of PJSC Oil Company Bashneft, series 11 bonds of PJSC Gazprom Neft, series BO-06 bonds of X5 FINANSE LLC, series BO-04 bonds of PJSC LSR Group, series 23 bonds of PJSC RZD, series A7 bonds of PJSC ROSBANK, series 20 and 21 bonds of JSC Rosselkhozbank, series BO-03 bonds of PJSC Transneft, as well as series 48 and 49 bonds of the Finance Department of the Moscow Government, and series 09 bonds of the Government of Khanty-Mansiysk Autonomous Area — Yugra | KIT Finance Trade (LLC) and TRINFICO Asset Management JSC | March 2015 — December 2015 | Cancellation of qualification certificates of financial market specialist issued to Vadim G. Dorofeev and Farit Kh. Zakirov. The materials of the inspection have been submitted to law enforcement agencies |
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Last updated on: 26.12.2019