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 |
|---|---|---|---|---|---|---|---|
| 127 | 25.11.2021 | Market manipulation | Transactions with bonds in collusion | Bonds of JSC TRINFICO Holdings (ISIN: RU000A100790) | PJSCB DERZHAVA (TIN: 7729003482) LLC Derzhava-Platforma (TIN: 7704860781) LLC Landbroker (TIN: 7729640040, beginning on 8 September 2021, its corporate name was changed for LLC LAND-B) JSC Planeta-Finance (TIN: 7729734267) | 29.03.2019–25.09.2019 | The Bank of Russia sent orders to cease and desist from similar violations in the future to the following entities: PJSCB DERZHAVA, LLC Derzhava-Platforma, LLC LAND-B, and JSC Planeta-Finance |
| 126 | 28.09.2021 | Market manipulation | Transactions carried out to distort price trends in securities markets and mislead other traders in order to conduct reverse transactions at such prices | Ordinary shares of PJSC Kaluga Power Sale Company (ISIN RU000A0DKZK3), ordinary shares of PJSC Astrakhan Power Sale Company (ISIN RU000A0D8MM8), ordinary shares of PJSC Vyborg Shipyard (ISIN RU0006334372), preferred shares of PJSC Vyborg Shipyard (ISIN RU0006334380), ordinary shares of PJSC Tambov power supply company (ISIN RU000A0D8NG8), preferred shares of PJSC Tambov power supply company (ISIN RU000A0D8NH6), ordinary shares of PSC Tomsk distribution company (ISIN RU000A0ETZF2), ordinary shares of PJSC Izhstal (ISIN RU0002155292), preferred shares of PJSC Izhstal (ISIN RU0002155300), ordinary shares of Slavneft-YANOS PJSC (ISIN RU0009100895), preferred shares of Slavneft-YANOS PJSC (ISIN RU0009101927), preferred shares of PJSC The Taganrog Boiler-Making Works ‘Krasny Kotelshchik’ (ISIN RU0009098131), ordinary shares of PJSC Kostroma Power Sale Company (ISIN RU000A0D8LW9), preferred shares of PJSC Kostroma Power Sale Company (ISIN RU000Рђ0D8PA6), ordinary shares of PJSC IC RUSS-INVEST (ISIN RU000A0JQ9W5), ordinary shares of PJSC Slavneft-Megionneftegas (ISIN RU0009011126), preferred shares of PJSC Slavneft-Megionneftegas (ISIN RU0009011134), ordinary shares of JSC SMW (ISIN RU0009100911), ordinary shares of Chelyabinsk Forge-and-Press Plant, PJSC (ISIN RU000Рђ0JNST0), ordinary shares of OJSC Donskoy factory of radiocomponents (ISIN RU000Рђ0JQW11), ordinary shares of TNS energo NN PJSC (ISIN RU000A0ET5A1), preferred shares of TNS energo NN PJSC (ISIN RU000A0ET5B9), ordinary shares of PJSC Nauka-Telecom (ISIN RU000A0JQLB6), preferred shares of OMZ (United Heavy Machinery Plants) (ISIN RU0009090559), ordinary shares of PJSC ROSINTER RESTAURANTS HOLDING (ISIN RU000A0JP922), ordinary shares of PJSC Vladimir Power Sale Company (ISIN RU000A0DQWJ9), ordinary shares of PJSC Volgogradenergosbyt (ISIN RU000A0D8L73), preferred shares of PJSC Volgogradenergosbyt (ISIN RU000A0D8L57), ordinary shares of PJSC NNK-Varyoganneftegaz (ISIN RU0009046460), preferred shares of PJSC NNK-Varyoganneftegaz (ISIN RU0007964789), ordinary shares of PJSC RN-Western Siberia (ISIN RU0009082291), ordinary shares of Tuimazinskiy Zavod Avtobetonovozov Publicly Traded Company (ISIN RU000A0HL7A2), ordinary shares of PJSCB Primorye (ISIN RU000A0DPNQ5), ordinary shares of PJSC Vladimir chemical plant (ISIN RU0007984761), ordinary shares of PJSC MERIDIAN (ISIN RU000A0JQ128), ordinary shares of PJSC Tantal (ISIN RU000A0B9000), ordinary shares of JSC Lipetsk Power Sale Company (ISIN RU000A0D8MR7) | Alexey N. Permyakov (on his own trading account and on V. A. Vereshchagin’s trading account), Alexander A. Smirnov, Elena Yu. Bayramova | 04.10.2018–20.11.2020 | The Bank of Russia sent orders to A. N. Permyakov, V. A. Vereshchagin, A. A. Smirnov, and E. Yu. Bayramova to cease and desist from similar violations in the future. Decisions were made to fine A. N. Permyakov and A. A. Smirnov. Orders were sent to professional securities market participants, PJSC Moscow Exchange, PJSC SPB Exchange, and SPCEX SC to suspend transactions and operations on the trading accounts of A. N. Permyakov and A. A. Smirnov. |
| 125 | 12.08.2021 | Market manipulation | Coordinated transactions with bonds carried out on counterparties’ accounts that caused significant deviations in trading parameters | Bonds of JSC Garant-Invest Commercial Real Estate (ISIN RU000A1005T9) | Ivan V. Maksimov, Timur R. Khodzhiev, Dmitry V. Safronov, Vladimir N. Ekimov, and Yuliya S. Chibrikova | 06.05.2019–14.08.2019 | Orders to cease and desist from similar violations in the future were sent to the persons whose brokerage accounts were used to conduct illegal operations |
| 124 | 05.08.2021 | Market manipulation | Transactions with exchange-traded bonds made in collusion | Exchange-traded bonds Dialix LLC (ISIN RU000A0ZZKW1) | Vyacheslav V. Piksaev, Aleksey V. Antipin, UniMetrix LLC (TIN 5405971433) | 03.02.2020 — 01.06.2020 | Orders were sent to Vyacheslav V. Piksaev, Aleksey V. Antipin, UniMetrix LLC to cease and desist from similar violations in the future |
| 123 | 05.08.2021 | Market manipulation | Transactions with investment units made in collusion | Units of multi-asset CUIF Zolotaya Kollektsiya (ISIN RU000A0JRHR8) | JSC CB Ellips bank (TIN: 5253004189), IQG Asset Management JSC (TIN: 7705918106), Trastovye Investitsii LLC (TIN: 7705969118), Stolichny Insurance Broker LLC (TIN: 7725538656), JSC MC Infrastructurnye Investitsii (TIN: 7707525541), KSP Capital AM LLC (TIN: 7723627413), InterFinance UA LLC (TIN: 7707628890), FG LLC (TIN: 7709914222), GM Realt LLC (TIN: 7702800730), Goodwill LLC (TIN: 5262283740, liquidated), UK Vialdi LLC (TIN: 7717547664, liquidated), IK Resonance LLC (TIN: 7726594910, liquidated), Maksim A. Garnov | February 2013 — September 2016 | Orders to cease and desist from similar violations in future were sent to: JSC IQG Asset Management, Trastovye Investitsii LLC, Stolichny Insurance Broker LLC, JSC MC Infrastructurnye Investitsii, KSP Capital AM LLC, InterFinance UA LLC, FG LLC, GM Realt LLC, the successor of JSC CB Ellips bank, Maksim A. Garnov |
| 122 | 05.08.2021 | Market manipulation | Transactions with investment units and bonds made in collusion | Units of Rental CUIF Ratio Rental (ISIN: RU000A0JTJZ3) Units of Rental CUIF Mozhaiskiy Bereg (ISIN: RU000A0JQFW4) Exchange-traded bonds of PSJC Ashinskiy metzavod Series BРћ-01 (ISIN: RU000A0JUQC5) | IK MBS LLC (TIN: 7701733190), SPMA LLC (TIN: 7701849878), Agrogorodok LLC (TIN: 7705800217), CJSC Investment Standard Asset Management (TIN 7737523774). | December 2014 — December 2015 | Orders to cease and desist from similar violations in future were sent to: IK MBS LLC, SPMA LLC, Agrogorodok LLC, РЎJSC Investment Standard Asset Management |
| 121 | 16.07.2021 | Market manipulation | Transactions with options made by collusion | Margin put options on USD/RUB exchange rate futures contract (Si-3.19M210319PA64000, Si-3.19M210319PA64250, Si-3.19M210319PA64500, Si-6.19M180419PA63500, Si-6.19M180419PA63000, Si-6.19M180419PA63750, Si-6.19M180419PA64000, Si-6.19M180419PA64500, Si-6.19M180419PA63250) | Vladimir N. Shabalov Bank ZENIT (Public Joint Stock Company)/ PJSC Bank ZENIT (TIN 7729405872) | 11.03.2019 — 18.04.2019 | Orders to cease and desist from similar violations in future were sent to Vladimir N. Shabalov and PJSC Bank ZENIT The qualification certificates of a financial market specialist issued to Vladimir N. Shabalov have been cancelled as decided by the Bank of Russia |
| 120 | 15.04.2021 | Market manipulation | Securities transactions made in collusion on counterparties’ accounts that caused significant deviations in trading parameters | Bonds of Digital Invest LLC Series 01, BРћ-01 — BРћ-07 (ISIN RU000A0JVCL4, RU000A0JVW55, RU000A0JVX62, RU000A0JW8X7, RU000A0JWCP3, RU000A0JWCU3, RU000A0JWD65, RU000A0JWD73), Region Invest LLC Series BРћ-01 — BРћ-06 (ISIN RU000A0JUUB9, RU000A0JVNA4, RU000A0JW2R2, RU000A0JWE72, RU000A0JWEP9, RU000A0JWES3, RU000A0JWG88), StroyZhilInvest LLC Series 01 BРћ-01 (ISIN RU000A0JUQW3, RU000A0JV334), O1 Group Finance LLC Series 001Р -05 (ISIN RU000A0JXY28), JSC O1 Properties Finance Plc Series BРћ-01, BРћ-P01USD, BРћ-P02USD (ISIN RU000A0JVUB7, RU000A0JXC40, RU000A0JXRB9), Prime Finance LLC Series BРћ-01 (ISIN RU000A0JVYD5), Whale Finance LLC Series 01 (ISIN RU000A0JUHV4), Archer Finance Ltd. Series 01 (ISIN RU000A0JUJW8), — ordinary shares of PJSC RPC UWC (ISIN RU000A0JVBT9), CREDIT BANK OF MOSCOW (public joint-stock company) (ISIN RU000A0JUG31), PJSC RussNeft (ISIN RU000A0JSE60), PJSC M.video (ISIN RU000A0JPGA0), PJSC SAFMAR Financial Investments (ISIN RU000A0JVW89), shares of foreign issuer — United Company RUSAL Plc (ISIN JE00B5BCW814), global depositary receipts of foreign issuer Citibank N.A. (NYC) for shares EN+ GROUP PLC (ISIN US29355E2081), — mortgage participation certificates MPC EFG-3 (ISIN RU000A0JVT35), managed by JSC EFG Asset Management (renamed to JSC IQG Asset Management), MPC-11000 (ISIN RU000A0JUP71) managed by LLC MC BIN FINAM Group (renamed to LLC MC Investment Management), MPC GK-3 managed by LLC MC GeoCapital (ISIN RU000A0JVEZ0) | Pavel N. Sapozhnikov, Oksana I. Polishchuk, Oleg A. Gromov, Vladislav V. Leonov, Andrey V. Lyapin, Tatyana Yu. Shevlyakova, Tatyana A. Nikolaeva, Nadezhda P. Karakina, Nadezhda V. Krabova, Nikolay M. Chadin, Yana A. Trufanova, Mariya A. Chalykh, Rinat M. Miftakhov, Nikolay I. Demin, Evgeny S. Nikitin, Albert R. Bagatov, Albert N. Bedelov, Alexander A. Tarasov, Nikolay D. Koryshov, Maksim A. Kuryanov, Denis A. Rtishchev, Oleg M. Shevchenko, Sergey V. Egorov, Alexander S. Kosilov, Irina A. Savelova, Daniil V. Belyayev, Vladimir S. Drozdov, Anton I. Markelov, Alexandra E. Zakharchenko, Pavel N. Komov, Ekaterina A. Belova. | 2016–2019 | Orders to cease and desist from similar violations in future were sent to the persons who committed misconduct |
| 119 | 08.04.2021 | Market manipulation | Transactions with financial instruments carried out in collusion which led to significant deviations in trading parameters | Bonds RIT LLC (ISIN: RU000A0JUQN2), Transbaltstroy LLC (ISIN: RU000A0JUJP2), GarantStroy LLC (ISIN RU000A0ZYJ26), UAKhM-FINANCE OOO (ISIN: RU000A0ZZ141), and PJSC Volga Kapital (ISIN RU000A0JXUU3) | Privat-Archive LLC (TIN 7729760980) and Stroyinvest LLC (TIN 7716751642) | 12.12.2018 — 05.03.2019 | Orders were sent to Privat-Archive LLC (TIN 7729760980) and Stroyinvest LLC (TIN 7716751642) to cease and desist from future violations |
| 118 | 17.03.2021 | Market manipulation | Coordinated transactions carried out on counterparties’ accounts that caused significant deviations in trading parameters | Magnitogorsk Iron and Steel Works ord. (ISIN RU0009084396), Sistema PJSFC ord. (ISIN RU000A0DQZE3), Sistema JSFC ord. (ISIN RU000A0JPNN9), PJSC ALROSA ord. (ISIN RU0007252813), Mobile TeleSystems PJSC ord. (ISIN RU0007775219), PSJC Raspadskaya ord. (ISIN RU000A0B90N8), PJSC Uralkali ord. (ISIN RU0007661302), PJSC TGC-1 ord. (ISIN RU000A0JNUD0), PJSC Kuzbasskaya Toplivnaya Company ord. (ISIN RU000A0JPYD7), PJSC Lenzoloto ord. (ISIN RU000A0JP1N2), Interregional Distribution Grid Company of Centre PJSC ord. (ISIN RU000A0JPPL8), PJSC ARMADA ord. (ISIN RU000A0JP4J4), PJSC IRKUT Corporation ord.-3 (ISIN RU0006752979), Unipro PJSC ord. (ISIN RU000A0JNGA5), Rosseti PJSC ord. (ISIN RU000A0JPVJ0), PJSC Enel Russia ord. (ISIN RU000A0F5UN3), PJSC Mostotrest ord. (ISIN RU0009177331), PJSOC Bashneft ord. (ISIN RU0007976957), PJSC Rosseti Moscow region ord. (ISIN RU000A0ET7Y7), Bank Saint Petersburg PJSC (ISIN RU0009100945), PROTEK PJSC ord. (ISIN RU000A0JQU47), TGC-5 PJSC ord. (ISIN RU000A0JKZF0), PJSC GC TNS energo ord. (ISIN RU000A0JUCQ5), IDGC of Center and Volga Region ord. (ISIN RU000A0JPN96), PJSC Acron ord. (ISIN RU0009028674), Gazprom Neft PJSC ord. (ISIN RU0009062467), PJSC Cherkizovo Group ord. (ISIN RU000A0JL4R1), PJSC MosEnergo ord. (ISIN RU0008958863), Mechel PAO ord. (ISIN RU000A0DKXV5), PJSC Belon ord. (ISIN RU000A0J2QG8), PJSC Nizhnekamskneftekhim pref. (ISIN RU0006765096), Mechel PAO pref. (ISIN RU000A0JPV70), PJSC Rostelecom pref. (ISIN RU0009046700), Sberbank of Russia pref. (ISIN RU0009029557), PJSOC Bashneft pref. (ISIN RU0007976965), Sugutneftegas PJSC pref. (ISIN RU0009029524), Rosseti PJSC pref. (ISIN RU000A0JPVJ0), OJSC RN Holding pref. (ISIN RU000A0HGPN7), GDRs of ROS AGRO PLC ORD SHS (ISIN US7496552057), RDRs of United Company RUSAL Plc (ISIN RU000A0JR5Z5), O’KEY GROUP 02 bonds (ISIN RU000A0JTFU2), JSC Rosselkhozbank bonds20 (ISIN RU000A0JTVJ2), UTair Finance LLC BO-09 (ISIN RU000A0JTBH8), UTair Finance LLC BO-10 (ISIN RU000A0JTBM8), Southern Kuzbass PJSC ord. (ISIN RU0005294775), PIK Group PJSC ord. (ISIN RU000A0JP7J7), OPIN PJSC ord. (ISIN RU000A0DJ9B4), PJSC RAO ES of East ord. (ISIN RU000A0JPVL6), PJSC Irkutskenergo ord. (ISIN RU0008960828), Korshunov Mining Plant PJSC ord. (ISIN RU0002155359), Rosseti Lenenergo PJSC pref. (ISIN RU0009092134), Mediaholding PJSC ord. (ISIN RU000A0JPWV3), NLMK PJSC ord. (ISIN RU0009046452), PJSC NCSP ord. (ISIN RU0009084446), PJSC OGK-2 ord. (ISIN RU000A0JNG55), PAO Severstal ord. (ISIN RU0009046510), Saratov Oil Refinery PJSC pref. (ISIN RU0009100416), Mos.teploset.comp JSC ord. (ISIN RU000A0ET7X9), Gazpromneft Moscow Oil Refinery JSC ord. (ISIN RU0009084404), Fortum JSC ord. (ISIN RU000A0F61T7), Razgulay Group PJSC ord. (ISIN RU000A0HG4P4), PJSC Inter RAO ord. (ISIN RU000A0JPNM1) | Dmitry V. Sharchilev, Aviafinans LLC (TIN 7731508709), Management Company Analytical Centre JSC (TIN 7714243273) | 2011–2017 | Orders to cease and desist from future violations were sent to the following persons: Dmitry V. Sharchilev, Aviafinans LLC, Management Company Analytical Centre JSC. Investigation materials were sent to law enforcement authorities. |
| 117 | 04.03.2021 | Market manipulation | Transactions with financial instruments conducted in collusion between trading participants and/or their employees and/or persons that caused significant deviations in trading parameters | Bonds RIT LLC (ISIN: RU000A0JUQN2), Transbaltstroy LLC (ISIN: RU000A0JUJP2), Spektr LLC (ISIN: RU000A0JW8G2), and UAKhM-FINANCE OOO (ISIN: RU000A0ZZ141) | IC Sparta-finans LLC (TIN: 7705941698), IC A Plus LLC (TIN: 7701864354), O.K. Bank PJSC (TIN: 5249046404), Aspect LLC (TIN: 7716711777), Energocenter LLC (TIN: 7710647885), Vecher LLC (TIN: 5904164594), TIMFIN LLC (TIN: 7734616526), EASTMARK INVESTMENTS LTD (Registration No. HE 351973), CARDOSEN ENTERPRISES LIMITED (Registration No. HE 285922), Alexandr O. Kim, and Maxim A. Diakovsky | From 17 October 2017 to 28 May 2018 | The licences of professional securities market participants of IC Sparta-finans LLC and IC A Plus LLC have been cancelled. The qualification certificates of a financial market specialist issued to Alexandr O. Kim and Maxim A. Diakovsky have been cancelled. The orders to cease and desist from similar violations in the future have been sent to O.K. Bank PJSC, Aspect LLC, Energocenter LLC, Vecher LLC, TIMFIN LLC, and EASTMARK INVESTMENTS LTD |
| 116 | 25.02.2021 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Ordinary shares of PJSC Gazprom (ISIN: RU0007661625), Sberbank (ISIN: RU0009029540), Moscow Exchange (ISIN: RU000A0JR4A1), PJSC Oil Company Bashneft (ISIN: RU0007976957), PJSC Mining and Metallurgical Company Norilsk Nikel (ISIN: RU0007288411), PJSC Lukoil (ISIN: RU0009024277), VTB Bank PJSC (ISIN: RU000A0JP5V6), PJSC Magnit (ISIN: RU000A0JKQU8), PJSC OC Rosneft (ISIN: RU000A0J2Q06), PJSC Mosenergo (ISIN: RU0008958863), PJSC TGK-14 (ISIN: RU000A0H1ES3) | Dmitry A. Eroshkevich, Alexander D. Syngaevsky, Stanislav E. Minsky, Ivan S. Rumyantsev, Valery L. Borisov, Maraion Investments Limited (registration certificate No. HE 245295) | 22.03.2016 — 23.08.2018 | Orders to cease and desist from future violations were sent to the following persons: Dmitry A. Eroshkevich, Alexander D. Syngaevsky, Stanislav E. Minsky, Ivan S. Rumyantsev, Valery L. Borisov, Maraion Investments Limited. Investigation materials were sent to law enforcement agencies |
| 115 | 18.02.2021 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters | Ordinary and preferred shares of PAO Surgutneftefax (ISIN:RU0008926258; RU0009029524) | Oleg V. Stativka, Olga S. Pavlova, OOO Kaladium, NP Firents | From 23.01.2015 to 28.06.2016 | Orders were sent to Oleg V. Stativka, Olga S. Pavlova, OOO Kaladium, NP Firents to cease and desist from future violations. The materials of the investigation were submitted to law enforcement authorities |
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Last updated on: 25.11.2021