List of detected cases of the misuse of insider information and market manipulation (market abuse)

Release date Type Marks Instruments Offenders Period of activity Mesures taken
2010
1 25.03.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Price rise, increase in demand and trade value growth. InterTradeInvest, JSC Profit-Time, LLC (TIN 7701770811), Assol, LLC (TIN 7733680134) and Ajvengo, LLC (TIN 7724605204) No information avaliable Inspection results send to law-enforcement authority. Revocation of license of a securities market professional participant for broker and dealer activities, portfolio management and custody business by Profit-Time, LLC, revocation of qualification certificate by Director General Kogut Sergey Wiktorowich and compliance officer Burenko Oksana Borisowna
2 25.03.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Price rise, increase in demand and trade value growth.. FinComInvest, JSC Profit-Time, LLC (TIN 7701770811), Assol, LLC (TIN 7733680134) and Ajvengo, LLC (TIN 7724605204) No information avaliable Inspection results send to law-enforcement authority. Revocation of license of a securities market professional participant for broker and dealer activities, portfolio management and custody business by Profit-Time, LLC, revocation of qualification certificate by Director General Kogut Sergey Wiktorowich and compliance officer Burenko Oksana Borisowna
3 28.12.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Biodinamika, JSC Donskaya Investment Company, JSC, TradeFinance, LLC, CenterLeasing, JSC, and SК Expertno-konsultativnoe strakhovanie, LLC 2008-2010 Revocation of license of a securities market professional participant in broker and dealer activities, portfolio management and custody business with securities by Donskaya Investment company, JSC
4 28.12.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Donskaya Investment Company JSC Donskaya Investment Company, JSC, TradeFinance, LLC, CenterLeasing, JSC, and SК Expertno-konsultativnoe strakhovanie, LLC 2008-2010 Revocation of license of a securities market professional participant in broker and dealer activities, portfolio management and custody business with securities by JSC Donskaya Investment company
5 28.12.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Mezhotraslevaya strahovaya companiya, JSC Donskaya Investment Company, JSC, TradeFinance, LLC, CenterLeasing, JSC, and SК Expertno-konsultativnoe strakhovanie, LLC 2008-2010 Revocation of license of a securities market professional participant in broker and dealer activities, portfolio management and custody business with securities by JSC Donskaya Investment company
6 28.12.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. Polyot, JSC Donskaya Investment Company, JSC, TradeFinance, LLC, CenterLeasing, JSC, and SК Expertno-konsultativnoe strakhovanie, LLC 2008-2010 Revocation of license of a securities market professional participant in broker and dealer activities, portfolio management and custody business with securities by JSC Donskaya Investment company
7 28.12.2010 Manipulations with prices of ordinary registered uncertified shares Repeating transactions without any economic aim or evident legitimate purpose. Obligation fulfilment on such security didn’t change the security holder. FinInvest, JSC Donskaya Investment Company, JSC, TradeFinance, LLC, CenterLeasing, JSC, and SК Expertno-konsultativnoe strakhovanie, LLC 2008-2010 Revocation of license of a securities market professional participant in broker and dealer activities, portfolio management and custody business with securities by JSC Donskaya Investment company
2011
8 25.05.2011 Manipulations with bond prices No information avaliable SITRONICS, JSC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
9 25.05.2011 Manipulations with bond prices No information avaliable Investtorgbank, JSC JSCB No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
10 25.05.2011 Manipulations with bond prices No information avaliable Tatfondbank, JSC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
11 25.05.2011 Manipulations with bond prices No information avaliable Metallservice-Finance, LLC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
12 25.05.2011 Manipulations with bond prices No information avaliable Setl Group, LLC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
13 25.05.2011 Manipulations with bond prices No informatin avaliable Rotor, LLC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
14 25.05.2011 Manipulations with bond prices No information avaliable Investment company Strategiya, LLC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
15 25.05.2011 Manipulations with investment units prices No information avaliable Rodniye Prostory, real estate investment fund No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
16 25.05.2011 Manipulations with ordinary shares prices No information avaliable Management company Strategiya, JSC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
17 25.05.2011 Manipulations with ordinary shares prices No information avaliable Permpromnedvizhimost, JSC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
18 25.05.2011 Manipulations with ordinary shares prices No information avaliable Promyshlennyi Aktiv, JSC No information avaliable 2009-2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
19 30.06.2011 Manipulations with ordinary shares prices Within the three days of transactions share price increased more than 100% Samaraenergo, JSC A company’s customer, a resident of the Russian Federation December 2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
20 10.08.2011 Manipulations with ordinary shares prices Shre price increased 150% TATBENTO, JSC Customers of ТАТBENTO, JSC one of which is a founder of the company September — December 2010 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
2012
21 20.09.2012 Manipulations with ordinary shares prices Substantional difference between share price and other market variables, trade volume with JSC RBC on some days reached 40% of the whole trade volume accomplished with the shares. Transactions were accomplished for the benefit of one individual, who also participated in the transactions RBC, JSC Customer group of one of professional securities trader Autumn 2011 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
22 29.11.2012 Manipulations with ordinary shares prices On the copycat website (http://см3.рф/ — http://смз.рф/) appeared misleading information about share repurchase of JSC „SMW” at the price much higher than the market price, which was registered on CJSC Moscow Exchange trades. The result was a sustantional variance of price and other market variables of the sahres. SMZ, JSC Individual Мarch 2012 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
2013
23 22.02.2013 Manipulations in ordinary and preference shares market 90% of daily trade volume with ordinary shares and 96,53% of daily trade volume with preference shares were accomplished between two trading participants (individuals) without any economic efficiency. Transactions were accomplished at the same price and did not afford any profit. No-address bids for the transactions were submitted simultaniously with identical volume and prices. Archangelskaya sbytovaya companiya, JSC Memebers of the Board of Directors of Baikalinvestbank,JSC, mebers of the Supervisory Board of the Enisey Bank Public Company, individuals in superior positions of Ortiga, LLC, group 16.12.2011 No information avaliable
24 06.03.2013 Manipulations in ordinary shares market Regular crossing trades conducted by the same participants. Trade volume performed by them amounted on some days up to 100% of daily trade volume accomplished with the sahres. The transactions resulted to a sustantional price variance and other market variables of the sahres. Transactions were accomplished at instructions and at the expence of one individual. Avangard, JSC JSCB Customers of several professional market participants December 2011 — May 2012 Imposition of administrative sanctions
25 25.04.2013 Manipulations in ordinary shares market Regular crossing trades conducted by the same participants. Trade volume performed by them amounted on some days up to 100% of daily trade volume accomplished with the sahres. The transactions resulted to a sustantional price variance and other market variables of the sahres. It was established, that unfair transactions were accomplished to the benefit of the shares issuer — JSC Proektniye Investiciyi Proektniye Investiciyi, JSC Customers of several professional market participants January 2012 — February 2013 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
26 30.05.2013 Manipulations in bonds market Accomplishment of regular crossing trades. Trade volume performed by them on some days amounted up to 100% of daily trade volume conducted with the sahres.On some days securities volatility increased more than 100% Constructional union М-Industiya, CJSC Two residents of the Russian Federation having family relationships with each other February 2012 — June 2012 Imposition of administrative sanctions
27 19.06.2013 Manipulations in shares market Dissemination of false information in mass media. As a result, share price changed and trade value increased (many trade participants suffered losses) Аvtovaz, JSC Legal entity assisted by several legal entities and individuals December 2012 Imposition of administrative sanctions. Inspection results send to law-enforcement authority.
28 01.07.2013 Several individuals involved in the transaction misused insider information, at their disposal and obtained „Kalina” shares. Corporate group Kalina, JSC Individuals including chief executive officer and a foreign legal entity Autumn 2011 Imposition of administrative sanctions.
29 10.09.2013 Manipulations with shares Nominations of transactions resulting in bids deviation from the level, that could be without the transactions Bogorodskie delikatesi, JSC Several legal entities, one of them was a professional securities market participant December 2012 Imposition of administrative sanctions. Revokation of licence of a professional securities market participant
30 13.11.2013 Manipulations in shares market Intentional dissemination of false information and accomplishment of the legal entity shares transactions agreed before by participants, who was in benefit from the transactions. As a result of the manipulations market variables deviated from the level, that would be without the transactions. Besides, during trading days and for the benefit of one individual transactions based on bids with highest purchase price and lowest selling price were repeatedly accomplished, resulting in price deviation. Manipulations were aimed at benefiting from reverse transactions made by simulated prices. War and peace Media group, JSC Founders and officers of the company 2012 Imposition of administrative sanctions. Inspection results send to law-enforcement authority. For averting of further manipulations by offenders, they were forbidden to accomplish any transactions with market operators including derivatives transactions.
31 27.12.2013 Manipulations in ordinary shares market Regular accomplishment of bilateral transactions, which occupied a significant part of shares trades (up to 100% of daily trades on some days). The transactions resuled in price and other market variables deviation. Varyeganneftegaz, JSC Individual March 2012 — September 2013 Imposition of administrative sanctions.
2014
32 27.02.2014 Manipulation in shares market Transactions are qualified as these on preliminary agreement and can be classified as market manipulations No information avaliable Republic investment company, LLC, Republic financial corporation JSC and Inresbank LLC December 2012 — April 2013 Licence revocation from securities market professional participant for securities market activities. Cancellation of financial market specialist qualification certificates
33 27.02.2014 Manipulations in registered preference shares market Shares transactions accomplished on preliminary agreement and resulting in shares price and trade volume derivations. Transneft, JSC URSA capital, LLC acting in own best interest and Inresbank, LLC acting for the benefit of its customer — legal entity December 2012 — March 2013 Cancellation of traders qualification certificates
34 28.05.2014 Manipulations in ordinary shares market Prices on the financial instrument were formed by trading in non-market ways, intentionally supported (like other trade characteristics: volume, supply and demand) by concerned parties related to each other. Shares market was almost completely simulated. Share prices were not fair and were not associated with true value of the financial instruments. ORF management compnay, JSC Customers of Fineko, LLC — russian and foreign individuals and legal entities. Involved individuals also took different positions in ORF, JSC, and in Fineko, LLC, which are professional securities market participants 2011 and 2012 Licence revocation from securities market professional participant for broker activities (Fineko, LLC), cancellation of securities market specialist qualification certificates by chief executive officer of ORF management company, JSC, chief executive officer of Fineko, LLC, and compliance officer of Fineko, LLC
35 28.05.2014 Manipulations in investment units market Prices on the financial instrument were formed by trading in non-market ways, intentionally supported (like other trade characteristics: volume, supply and demand) by concerned parties related to each other. Shares market was almost completely simulated. Investment units prices were not fair and were not associated with true value of the financial instruments. „Third reserve fund”, Interval mutual investment fund of mixed investments Customers of Fineko, LLC — russian and foreign individuals and legal entities. Involved individuals also took different positions in ORF JSC and in Fineko, LLC which are professional securities market participant 2011 and 2012 Licence revocation from securities market professeional participant for broker activities (Fineko, LLC), cancellation of securities market specialist qualification certificates by chief executive officer of ORF management company, JSC, chief executive officer of Fineko, LLC and compliance officer of Fineko, LLC
36 23.06.2014 Manipulations in investment units market Investment units market was almost completely simulated. Prices on the investment units on CJSC Moscow Exchange trades (like other trade characteristics: volume, supply and demand) were formed in non-market ways and intentionally supported by concerned individuals and legal entities related to each other. The parties accomplished the greatest part of trade volume with the investment units on the stock exchange. The parties involved were customers of the same professional securities market participant. Agrokapital, closed-end investment rent income fund Individuals and legal entities related to fund management company Euro Trust management company, LLC, a number of professional securities market participants and several individuals and legal entities 2012 and 2013 Cancellation of securities market specialist qualification sertificates from officers of the companies, which were financial market professional participants and which took part in manipulations. Imposition of administrative sanctions.
37 10.07.2014 Misuse of insider information ONEXIM HOLDINGS LIMITED employee S.S. Gorskiy handed over insider information about a planned offer to ARDELICA JSC. ARDELICA JSC bought JSC Opin shares on CJSC Moscow exchange trades using the insider information. Shares bought on the trades were stored by FOESTA LIMITED represented by S.S. Gorskiy. The final beneficiary of the manipulations was ONEXIM HOLDINGS LIMITED Otkritiye Investicii, JSC ARDELICA JSC, FOESTA LIMITED и ONEXIM HOLDINGS LIMITED (S.S. Gorskiy) February 2012 Improvement notices concerning prevention of such offences in future are sent to ONEXIM HOLDINGS LIMITED, ARDELICA JSC, FOESTA LIMITED, and to S.S.Gorskiy
38 12.11.2014 Market manipulation with investment units The prices set for investment units during trading sessions were not market-based, or fair and did not reflect the true value of the financial instrument. The market for investment units was almost completely created artificially by a group of interconnected entities. These entities were sustaining trading activities on the market for investment units and their quotations by executing collusive trades. ZPIFC RKS, closed-end credit unit investment fund Rossiyskiy Kreditny Soyuz (Russian Credit Union) A group of interconnected legal entities and private individuals, also having links with OOO MFOND (MFOND LLC), the asset manager of ZPIFC RKS From November 2011 to September 2013 Revocation of the licences authorizing professional activity in the securities market held by legal entities, professional securities market participants, manipulating the market for investment units.
Cancellation of qualification certificates held by individuals involved in market manipulation.
Imposing civil penalties.
2015
39 02.02.2015 Market manipulation with investment units The market for investment units was almost completely created artificially by a group of interconnected individuals, also having indirect links with OOO UK Montes Auri (Montes Auri LLC), the asset manager of ZPIFN Montes Auri Mountain. The vast majority of trades in investment units were executed on the ZAO MICEX SE (closed joint stock company MICEX Stock Exchange) by a group of individuals acting in collusion. These individuals were sustaining trading activities on the market for investment units, and their quotations. ZPIFN Montes Auri Mountain (closed-end real estate unit investment fund Montes Auri Mountain) D. A. Bredikhin, D. A. Yakovenko, S. V. Vikharev, R. R. Battalov From July 2011 to June 2014 Orders issued to individuals involved in market manipulation to refrain from such unlawful activity in the future.
Civil Penalties imposed on individuals.
40 16.03.2015 Unit market manipulation The unit market was created artificially practically in full by a number of legal entities affiliated with each other and indirectly affiliated with the management company of closed-end rental unit investment fund Istok. The overwhelming majority of transactions with the fund's units on the Moscow Exchange was made under the preliminary agreement between these entities and was aimed at supporting trading activities in the unit market and the unit quotations. Closed-end rental unit investment fund Istok BPM A LLC, CarTrade LLC, Land Investment Company LLC, Samokat LLC, ElectroSbyt LLC, Galant LLC 2012-2013 Sending instructions to prevent similar violations in the future to entities, which committed the manipulations
41 16.03.2015 Unit market manipulation The unit market was created artificially practically in full by a number of legal entities affiliated with each other and indirectly affiliated with the management company of closed-end rental unit investment fund GBM-Alfa and closed-end rental unit investment fund GBM-Beta. The overwhelming majority of transactions with the fund's units on the Moscow Exchange was made under the preliminary agreement between these entities and was aimed at supporting trading activities in the unit market and the unit quotations. Closed-end rental unit investment fund GBM-Alfa BPM A LLC, CarTrade LLC, Land Investment Company LLC, Samokat LLC, ElectroSbyt LLC, Galant LLC, CB Miraf-Bank CJSC 2013 Sending instructions to prevent similar violations in the future to entities, which committed the manipulations
42 16.03.2015 Unit market manipulation The unit market was created artificially practically in full by a number of legal entities affiliated with each other and indirectly affiliated with the management company of closed-end rental unit investment fund GBM-Alfa and closed-end rental unit investment fund GBM-Beta. The overwhelming majority of transactions with the fund's units on the Moscow Exchange was made under the preliminary agreement between these entities and was aimed at supporting trading activities in the unit market and the unit quotations. Closed-end rental unit investment fund GBM- Beta BPM A LLC, CarTrade LLC, Land Investment Company LLC, Samokat LLC, ElectroSbyt LLC, Galant LLC, CB Miraf-Bank CJSC 2013 Sending instructions to prevent similar violations in the future to entities, which committed the manipulations
43 29.04.2015 Shares market manipulation It can be assumed by the type the deals with the Shares executed on the Moscow Stock Exchange that the said entities acted in collusion. On some days the share of the agreed deals between them comprised 20-67% in the volume of the Shares trading. Ordinary shares of Rosneft JSC, ordinary and preference shares of OJSC Rostelecom, ordinary shares of JSC RusHydro, ordinary and preference shares of Sberbank , ordinary shares of Surgutneftegaz OJSC, ordinary shares of Tatneft JSC, ordinary shares of ОАО Lukoil

Ursa Capital LLC, Transportny LLC, INRESBANK LLC*, JSCB MOSOBLBANK OJSC*, RIK LLC, RSD LLC, Finance Business Bank LLC*, Shepelev Evgeniy Lvovich


*Illegitimate actions had been performed before the Bank of Russia took its decision about their financial recovery.
From February, 2012 to October, 2013

Revoking licences authorizing professional activity in the securities market held by Ursa Capital LLC, Transportny LLC.

Cancelling certificate of qualification in financial market held by Suyarov Konstantin Aleksandrovich.

Forwarding orders to INRESBANK LLC, JSCB MOSOBLBANK OJSC, RIK LLC, RSD LLC, Finance Buisiness Bank LLC, Shepelev E.L. about averting such violations in the future.

44 09.07.2015 Common stock market manipulation Acting on behalf of UFS Investments Ltd, UFS CAPITAL LIMITED struck deals to sell shares on the basis of offers with the lowest selling prices which resulted in a substantial shift in the stock price. During subsequent trading days reverse deals were made on behalf of UFS Investments Ltd. UFS CAPITAL LIMITED also made deals with shares, the obligations of the parties to which were performed on account and for one and the same entity, namely, UFS Investments Ltd. Mechel OAO common stock UFS Investments Ltd and UFS CAPITAL LIMITED with the involvement of IC Arbat Finance and Elena V. Zheleznova November 2013 Revocation of the licenses of a securities market professional participant issued to IC Arbat Finance. Revocation of the qualification certificate issued to E.V. Zheleznova. Inspection results send to the law-enforcement authority.
45 13.08.2015 Market manipulation with investment units The trading activities in the market of investment units of Strazhi Urala (real estate CUIF) were almost entirely sustained by a group of interconnected entities/individuals (CB Koltso Urala LLC, CJSC Management Company United Investment Funds, UGMK-Strakhovanie LLC, APF «UMMC-Perspective» and Oleg Anatolyevich Pelikh), also having links with MC Sodruzhestvo LLC, which is the managing company of Strazhi Urala (real estate CUIF), executing trades in collusion. Investment units of Strazhi Urala (closed-end real estate unit investment fund) CB Koltso Urala LLC, UGMK-Strakhovanie LLC, CJSC Management Company United Investment Funds, Oleg Anatolyevich Pelikh From 29 February 2012 to 3 June 2013 The license authorizing professional activity in the securities market held by CJSC Management Company United Investment Funds was revoked.
The qualification certificate in financial markets held by Alexey Vladimirovich Nikitin was cancelled.
Orders were issued to UGMK-Strakhovanie LLC and Oleg Anatolyevich Pelikh to refrain from similar unlawful activity in the future.
46 13.08.2015 Market manipulation with investment units The trading activities in the market of investment units of Centre (rent CUIF) and Malakhit (rent CUIF) were entirely sustained by a group of interconnected entities/individuals (CB Koltso Urala LLC, Regional AVK LLC, REA Delovoy Dom LLC, Solutions and Investments LLC and CJSC Uralleasing), also having links with MC Sodruzhestvo LLC, which was the managing company of the above funds, executing trades in collusion. Investment units of Centre (closed-end rent unit investment fund) and Malakhit (closed-end rent unit investment fund) CB Koltso Urala LLC, Regional AVK LLC, REA Delovoy Dom LLC, Solutions and Investments LLC, CJSC Uralleasing From 30 January 2012 to 21 May 2014 The qualification certificate in financial markets held by Alexey Vladimirovich Nikitin was cancelled.
Administrative enforcement measures were imposed on Regional AVK LLC, REA Delovoy Dom LLC, Solutions and Investments LLC to refrain from similar unlawful activity in the future.
47 04.12.2015 Manipulations with investment units market Almost all trading activities in the market of units of the closed-end unit investment hedge fund Altair were maintained through pre-agreed transactions by a group of interconnected entities: JSCB FINPROMBANK PJSC, HFL Finance LLC, Eco-Engineering LLC, Palreco Ltd and UM Finance Ltd. Units of closed-end unit investment hedge fund Altair JSCB FINPROMBANK PJSC, HFL Finance LLC, Eco-Engineering LLC, Palreco Ltd, UM Finance Ltd. February 2012 – August 2013 Cancellation of the qualification certificates held by Sergey Nikolaevich Belov and Eduard Andreevich Belyaev. Orders were issued to HFL Finance LLC, Eco-Engineering LLC, Palreco Ltd and UM Finance Ltd to refrain from such unlawful activity in the future.
48 04.12.2015 Manipulations with investment units market Almost all trading activities in the market of units of the closed-end unit investment hedge fund Iskona were maintained through pre-agreed transactions by a group of interconnected entities: JSCB FINPROMBANK PJSC, HFL Finance LLC, Eco-Engineering LLC. Units of closed-end unit investment hedge fund Iskona JSCB FINPROMBANK PJSC, HFL Finance LLC, Eco-Engineering LLC December 2011 – October 2012 Cancellation of the qualification certificate held by Sergey Nikolaevich Belov. Orders were issued to HFL Finance LLC and Eco-Engineering LLC to refrain from such unlawful activity in the future.
49 10.12.2015 Manipulations with investment units market The trading activities in the market of investment units of the ZPIFN Rozhdestvensky (closed-end real estate unit investment fund Roshdestvensky) were almost entirely sustained by a group of interconnected entities/individuals: OOO IC-Talan (Talan IC LLC), OOO Dil-tag (Dil-tag LLC), Dmitry Anatolyevich Solntsev, OOO Romix (Romix LLC), ThayCtel LTD, OOO Tehnostroi (Tehnostroi LLC) and ZAO Energoinvest (Energoinvest CJSC). Investment units of Roshdestvensky (closed-end real estate unit investment fund) Talan IC LLC, Dil-tag LLC, Dmitry Anatolyevich Solntsev, Romix LLC, ThayCtel LTD, Tehnostroi LLC, Energoinvest CJSC From August 2012 to February 2014 The license authorizing professional activity in the securities market held by Talan IC LLC was revoked. Qualification certificates in financial markets held by Dmitry Anatolyevich Solntsev, Olga Vyacheslavovna Krokhina and Michail Vladimirovich Balovnitsev were cancelled. Orders were issued to Romix LLC, ZAO IK Midland (Investment company Midland CJSC) (legal successor of Energoinvest CJSC, OOO Flash (Flash LLC) (legal successor of Tehnostroi LLC), Dil-tag LLC, ThayCtel LTD to refrain from similar unlawful activity in the future.
50 17.12.2015 Shares market manipulations ZAO IC Energocapital (Investment company Energocapital CJSC) accomplished series of transactions on preliminary agreement with its customer OPEN TRADING LIMITED abusing the customer’s trading account to serve its own interests, which caused material variations in shares trading volume, demand and supply. The manipulations were aimed at, inter alios, achieving a certain volume of trades with OAO Lenenergo (Lenenergo LLC) shares and receiving awards from the issuer’s agent. Ordinary and preferred shares of OAO Lenenergo (Lenenergo LLC) ZAO IC Energocapital (Investment company Energocapital CJSC) From September 2013 to June 2015 The license authorizing professional activity in the securities market held by ZAO IC Energocapital (Investment company Energocapital CJSC) was revoked.
2016
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
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
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 (ООО STP) Romanova P.V., AVK, LLC (OOO AVK), Promaktiv, PJSC (PAO Promaktiv), Zhilstroy, LLC (ООО Zhilstroy), Rentek, LLC (ООО Rentek), TSK-1, LLC (OOO TSK-1) April 20, 2015- April 27, 2015 Administrative penalties imposed
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
55 22.06.2016 Ordinary shares market manipulation The ОАО ‘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 ОАО ‘SEMZ’ ordinary shares ОАО ‘SEMZ’, ООО ‘Dekom’, Skubak V.M., Karmanov I.G., BLUBBERSTAR LIMITED, SKAVADOS ENTERPRISES LIMITED, Transcube Communications GmbH, Vionmane LTD December 2011– December 2013 ОАО ‘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
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
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
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
59 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  
60 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
61 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 Т.А., 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 Т.А., 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
62 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  
2017
63 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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