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 |
|---|---|---|---|---|---|---|---|
| 114 | 01.10.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in trade parameters | Units of Rental CUIF Capital Investments (ISIN RU000Рђ0JTJR0) and units of Rental CUIF Strategic Investments (ISIN RU000A0JTYP3) managed by CAPITAL ASSET MANAGEMENT LLC | IC VITUS LLC (TIN 5906001605), CAPITAL CITY LLC (TIN 5903119550) and RIEL CITY (TIN 5902244572) | 30.11.2015 — 21.03.2017 | Cancellation of the professional licence of IC VITUS LLC. The order to cease and desist from future violations was sent to IC VITUS LLC. |
| 113 | 24.09.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Eurobonds GAZPR-34, PGIL-20, PSB Fin-7, Veb-23, CBOM Finan, VEB FIN-25, VEB-20, RUS-30, RUS-28, BIN-19, PSB Fin-9, CBOM-18, RUS-18, Sistema-19 | Chirkov Mikhail Yurievich, Khokhrin Aleksandr Vitalievich, Timoschenko Ivan Aleksandrovich, GTCP TRADING LTD, GorTec Management Ltd, Dokuchaev Aleksey Sergeevich, IT INVEST FINANCIAL SOLUTIONS (CYPRUS) LTD, DA VINCI CAPITAL INVESTMENTS (CY) LTD | 16.03.2016 — 25.04.2017 | Orders to avoid similar violations in future were sent to the following persons: Chirkov Mikhail Yurievich, Khokhrin Aleksandr Vitalievich, Timoschenko Ivan Aleksandrovich, GTCP TRADING LTD, GorTec Management Ltd, Dokuchaev Aleksey Sergeevich, IT INVEST FINANCIAL SOLUTIONS (CYPRUS) LTD, DA VINCI CAPITAL INVESTMENTS (CY) LTD |
| 112 | 20.08.2020 | Market manipulation | Conduct of transactions where obligations were performed at the expense or in the interest of an entity and which caused significant deviations in trade parameters Conduct of operations on the basis of two and more counterbids, made simultaneously, where the financial instrument’s purchase price exceeds or equals its selling price, and where the results of such operations caused significant deviations in trade parameters | Ordinary shares of PJSC FG FUTURE (ISIN: RU000A0JWNX4), PJSC PROMSVYAZBANK (ISIN: RU000A0JNX47), PJSC EUROPLAN (ISIN: RU000A0JWZJ7), PJSC SAFMAR Financial Investments (ISIN: RU000A0JVW89) | STARBERRY Limited (registration certificate No. HE 151911) | 16.12.2016 — 04.08.2017 | The order to cease and desist from future violations was sent to STARBERRY Limited |
| 111 | 18.08.2020 | Market manipulation | Conduct of transactions where obligations were performed at the expense or in the interest of an entity which caused significant deviations in trade parameters | Ordinary shares of Joint-stock Company Alrosa (PJSC) (ISIN RU0007252813), ordinary shares of Public Joint-stock Company Aeroflot Russian Airlines (ISIN RU0009062285), ordinary shares of Public Joint-stock Company Detsky Mir (ISIN RU000A0JSQ90), preferred shares of Public Joint-stock Company Surgutneftegaz (ISIN RU0009029524), preferred shares of Public Joint-stock Company Oil and Gas Company Tatneft named after V.D.Shashin (ISIN RU0006944147), preferred shares of Public Joint-stock Company Oil Company Bashneft (ISIN RU0007976965), ordinary shares of Public Joint-stock Company Moscow Exchange MICEX-RTS (ISIN RU000A0JR4A1), ordinary shares of Public Joint-stock Company Mobile TeleSystems (ISIN RU0007775219), ordinary shares of Public Joint-stock Company Severstal (ISIN RU0009046510), ordinary shares of Public Joint-stock Company Surgutneftegaz (ISIN RU0008926258), preferred shares of Public Joint-stock Company Transneft (ISIN RU0009091573), ordinary shares of Public Joint-stock Company Unipro (ISIN RU000A0JNGA5), ordinary shares of Public Joint-stock Company Gazprom (ISIN RU0007661625), ordinary shares of Public Joint-stock Company Mining and Metallurgical Company Norilsk Nikel (ISIN RU0007288411), ordinary shares of Public Joint-stock Company M.video (ISIN RU000A0JPGA0), ordinary shares of Public Joint-stock Company Novolipetsk Steel (ISIN RU0009046452), ordinary shares of Public Joint-stock Company Research and Production Corporation United Wagon Company (ISIN RU000A0JVBT9), ordinary shares of Public Joint-stock Company Federal Hydro-Generating Company — RusHydro (ISIN RU000A0JPKH7), ordinary shares of Public Joint-stock Company Tatneft named after V.D.Shashin (ISIN RU0009033591), ordinary shares of Public Joint-stock Company Federal Grid Company of Unified Energy System (ISIN RU000A0JPNN9), ordinary shares of Public Joint-stock Company Enel Russia(ISIN RU000A0F5UN3), ordinary shares of Public Joint-stock Company Inter RAO UES (ISIN RU000A0JPNM1), ordinary shares of Public Joint-stock Company Magnitogorsk Iron & Steel Works (ISIN RU0009084396), ordinary shares of Public Joint-stock Company Magnit (ISIN RU000A0JKQU8), ordinary shares of VTB Bank (PJSC) (ISIN RU000A0JP5V6), ordinary shares of Public Joint-stock Company Mechel (ISIN RU000A0DKXV5) | Routa Luxury Services Limited (registration certificate No. HE 290594 | 30.11.2017- 03.08.2018 | Orders aimed at preventing similar violations in future were sent to Routa Luxury Services Limited |
| 110 | 15.05.2020 | Market manipulation | Performance of equity transactions in collusion that caused substantial deviations in the stock trading volume | Ordinary shares of PJSC UCS (ISIN: RU000A0JTQK0) | KIT Finance Trade (LLC) (TIN: 7840471255), LLC SSK (TIN: 7806380311), LLC EUROMAKS (TIN: 7731579315), Demyanenko Vitaly Vladimirovich, Litvinova Irina Igorevna | from July 2017 to December 2017 | Orders aimed at preventing similar violations in future were issued to KIT Finance Trade (LLC), LLC SSK, LLC EUROMAKS, Demyanenko Vitaly Vladimirovich, Litvinova Irina Igorevna |
| 109 | 15.05.2020 | Market manipulation | Performance of transactions with securities in collusion that caused substantial deviations in their trading volume | Bonds of JSC National Capital Series 03 (ISIN: RU000A0JU1W6) and Series BO-06 (ISIN: RU000A0JUKS4) | JSC TRANSFINGROUP Asset Management (TIN: 7708168370), CJSC RWM Capital (TIN: 7722563196), KIT Finance Trade (LLC) (TIN: 7840471255), JSC TFC-Finance (INN: 7702821106), JSC TRINFICO Asset Management (TIN: 7701155020), Dorofeev Vadim Gennadievich, Zakirov Farit Khamitovich, Markov Denis Vasilievich, Volodarsky Aleksey Vladimirovich, Ponomarev Stanislav Yurievich, Belousov Andrey Viktorovich, Konovalov Dmitry Pavlovich. | 2015-2016 | Orders aimed at preventing similar violations in future were issued to: JSC TRANSFINGROUP Asset Management, CJSC RWM Capital, KIT Finance Trade (LLC), JSC TFC-Finance, JSC TRINFICO Asset Management, Dorofeev Vadim Gennadievich, Zakirov Farit Khamitovich, Markov Denis Vasilievich, Volodarsky Aleksey Vladimirovich, Ponomarev Stanislav Yurievich, Belousov Andrey Viktorovich, Konovalov Dmitry Pavlovich. |
| 108 | 16.04.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Bonds of LLC Eurofinansy-Nedvizhimost (ISIN: RU000A0JR6N9, RU000A0JR6P4, RU000A0JRVM0, RU000A0JVWE7) bonds of LLC FSI (ISIN: RU000A0JVUG6) units of CUIF (closed-end unit investment fund) of bonds Investitsii Regionov (ISIN: RU000A0JTCM6) units of CUIF of bonds Konservator (ISIN: RU000A0JTCL8) units of CUIF of bonds Bolshaya Strana (ISIN: RU000A0JTCN4) | JSC IC Eurofinansy (TIN: 7701008530), Finniss Investments Limited (registration certificate No. HE 78061), JSC Skangrafiks (TIN: 7718504769), LLC Fondpartner (TIN: 7717710247), LLC Eurofinansy-Nedvizhimost (TIN: 7705649816), LLC FSI (TIN: 7706786501), S.V. Zagorodnov, JSC MC Eurofinansy (TIN: 7701548736), LLC IC Sparta-Finans (TIN: 7705941698 ) , JSC MC Global Capital (TIN: 7710561645), LLC Instant Invest (TIN: 7715725061), LLC Infinite Life (TIN: 7842492099), LLC IC (Insurance Company) Instant Garant (TIN: 2801090169) | 26.12.2012 — 10.09.2019 | Cancellation of professional securities market participant licences for brokerage and depository securities management activities issued to JSC IC Eurofinansy, as well as licences for the management of investment funds, unit investment funds and non-governmental pension funds issued to JSC MC Eurofinansy. Orders to avoid similar violations in the future were sent to JSC Skangrafiks, LLC Fondpartner, Finniss Investments Limited, LLC FSI, S.V. Zagorodnov, LLC Eurofinansy-Nedvizhimost, LLC IC Sparta-Finans, LLC Instant Invest, LLC Infinite Life, JSC MC Global Capital. |
| 107 | 27.03.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Bonds of Vneshprombank Ltd Series 02 (ISIN RU000A0JTG75) exchange-traded bonds of Vneshprombank Ltd Series BРћ-03 (ISIN RU000A0JTZR6) | Sukhrob S. Babadzhanov, Aleksey V. Pashkov, Vneshprombank Ltd (TIN 7705038550), Expobank LLC (TIN 7729065633), NFC JSC (TIN 7750004104) | 18.09.2015, 23.10.2015 | Sending orders aimed at preventing similar violations in the future. |
| 106 | 27.03.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Exchange-traded bonds of Far-Eastern Shipping Company Plc Series BO-02 (ISIN RU000A0JTY24) | Anton A. Pustovoytov, Maksim S. Lozovoy, Vladislav Yu. Sitnikov, LLC Management Company Pensionnye Nakopleniya (TIN 7701853183) | 20.03.2015 | Sending orders aimed at preventing similar violations in the future. |
| 105 | 20.03.2020 | Market manipulation | Prearranged securities transactions which led to significant deviations in securities trading parameters | Units of CUIF (closed-end unit investment fund) Vozrozhdeniye Abkhasii managed by LLC Management Company AGANA (ISIN: RU000A0JR1E9), Bonds of PJSC Vesta Series 01 (ISIN: RU000A0JS1S8), Bonds of PJSC Priam Series 01 (ISIN: RU000A0JS1J7), Bonds of PJSC IFC SOYUZ Series 02 (ISIN: RU000A0JTHF9), Ordinary shares of PJSC ASKO Mosenergosbyt (ISIN: RU000A0ET7Z4) | CJSC GAMMA (TIN: 0816027102), CJSC RAFT (TIN: 7710419247), PJSC IFC SOYUZ (before 01.04.2015 — JSC IFC SOYUZ, TIN: 7726586540) , JSC TEKHPROM STK (TIN: 7743897880), LLC AGRA (TIN: 7724737585), LLC FASTER (TIN: 7721500732), PJSC VESTA (TIN: 7704757505), CJSC REPUBLICAN INTERNET-EXCHANGE (TIN: 7706217801), LLC STRATEGIYA I LIDERSTVO (TIN: 7706588210), CJSC RTРЎ (TIN: 7710578825) | 2013 — 2015 | Orders aimed at preventing similar violations in the future were sent to PJSC IFC SOYUZ, JSC TEKHPROM STK, PJSC VESTA, LLC STRATEGIYA I LIDERSTVO |
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Last updated on: 01.10.2020