| № | Release date | Type | Marks | Instruments | Offenders | Period of activity | Mesures taken |
|---|---|---|---|---|---|---|---|
| 2019 | |||||||
| 96 | 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 | 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 | 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 | 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 | 1 October 2011 – 22 September 2017 |
Qualification certificates issued to V.V. Fedorin were cancelled. Issuing orders aimed at preventing similar violations in future. Inspection materials were sent to law enforcement authorities |
| 92 | 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 | 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 | 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 |
| 2018 | |||||||
| 89 | 2018 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters |
Ordinary shares of PJSC GC TNS Energo |
CJSC Management Company UNITY TRUST and Glestimon Management Limited | 23.04.2017 -15.11.2017 | Dispatch of orders aimed at preventing similar violations in future |
| 88 | 2018 | Market manipulation | Prearranged securities transactions which led to significant deviations in trading parameters |
Ordinary shares of PJSC Rostelecom, PJSC Mining and Metallurgical Company Norilsk Nikel, Sistema PJSC, PJSC MegaFon, PJSC Mobile TeleSystems, OJSC NOVATEK, PJSC Gazprom, PJSC Oil Company Bashneft, PJSC Magnit, PJSC LUKOIL, PJSC DIXY Group, PJSC LSR Group, PJSC OC Rosneft, PJSC Gazprom Neft, PJSC Sberbank, PJSC TATNEFT, OJSC Surgutneftegaz, PJSC Unipro, PJSC IDGS of Volga, PJSC Rosseti, PJSC TGK-1, PJSC ALROSA, PJSC Enel Russia, JSC BSP, PJSC RusHydro, PJSC Aeroflot, PJSC SOLLERS, PJSC Moscow Exchange, PJSC M.video, JSC PhosAgro, VTB Bank (PJSC), PJSC OGK-2, PJSC INTER RAO, PJSC TMK, PJSC Mostotrest, PJSC Uralkali, PJSC FSK UES, PJSC NLMK, PJSC Severstal, OJSC MMK, shares of the foreign issuer PLLC Yandex N.V., preferred shares of PJSC Sberbank, OJSC Surgutneftegaz, PJSC Oil Company Bashneft, PJSC Rostelecom, PJSC TATNEFT, PJSC Transneft, depository receipts of Lenta Ltd, QIWI PLC, ROS AGRO PLC |
Berger Dmitry Eduardovich | 03.02.2014 – 26.01.2017 | Investigation materials were sent to law enforcement authorities |
|
87 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement for the purpose, among other things, of deceit as to the price of such securities. As a result of such transactions, the price of securities was maintained at a level significantly different from that which would have emerged in the absence of such operations. |
Shares of a foreign issuer Polyus Gold International Limited, ordinary shares of PJSC Platform UTINET.Ru, ordinary shares of PJSC TPG AESSEL |
BROFAM ASSETS LIMITED (VERFARM HOLDING LTD), EVELSIA TRADING LTD, Vionmane Ltd, V.A. Ivanov, I.A. Ivanov |
from 01.02.2013 to 08.02.2016 |
Dispatch of orders aimed at preventing similar violations in future |
|
86 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement for the purpose, among other things, of deceit as to the price of such securities. As a result of such transactions, the price of securities was maintained at a level significantly different from that which would have emerged in the absence of such operations. |
Shares of a foreign issuer United Company RUSAL Plc |
BROFAM ASSETS LIMITED (VERFARM HOLDING LTD), EVELSIA TRADING LTD. |
from 30.03.2015 to 13.07.2015 |
Dispatch of orders aimed at preventing similar violations in future |
|
85 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement leading to a significant deviation of trading parameters |
Ordinary shares of OJSC GlavTorgProduct |
Vionmane Ltd, Omega Trade LLC, Premium Media Group LLC, I.Z. Losik, T.V. Solgalova, A.S. Lashkov, T.Ya. Sergienko, M.A. Morozov |
from 31.10.2012 to 05.05.2016 |
Dispatch of orders aimed at preventing similar violations in future |
|
84 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement leading to a significant deviation of trading parameters |
Ordinary shares of PJSC Mediaholding |
A.Yu. Arutyunov, D.V. Annenkov, S.A. Odintsov, N.K. Solovyov, V.V. Pantserny, STREAMBALL TRADING LTD |
from 07.12.2012 to 10.05.2017 |
Dispatch of orders aimed at preventing similar violations in future |
|
83 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement for the purpose, among other things, of deceit as to the price of such securities. As a result of such transactions, the price of securities was maintained at a level significantly different from that which would have emerged in the absence of such operations. |
Ordinary shares of Public Joint-stock Company VTORRESURSY |
LLC SKYINVEST Securities, LLC Investment, LLC Sfera, LLC Demish, LLC San Production, LLC StalProm, LLC SMART Company, A.A. Gusev, D.I. Maryechkina, A.B. Yashin, T.E. Chertkoyeva, T.V. Stolyarova, A.A. Shumilov, S.D. Kurnayev, S.E. Tereshchenko, S.S. Lebedev |
from 19.07.2012 to 01.12.2016 |
Dispatch of orders aimed at preventing similar violations in future |
|
82 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement for the purpose, among other things, of deceit as to the price of such securities. As a result of such transactions, the price of securities was maintained at a level significantly different from that which would have emerged in the absence of such operations. |
Ordinary shares of open joint-stock company Levenhuk |
M.E. Kleshchunov, M.E. Kaminskaya, A.A. Gusev, I.I. Guseva, D.I. Maryechkin, LLC Levenhuk, OJSC Smart Broker, LLC EXPERT RELATION, Triolima Corporation |
from 28.11.2012 to 06.04.2016 |
Dispatch of orders aimed at preventing similar violations in future |
|
81 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement leading to a significant deviation of trading parameters |
Investment units of Closed-end Rental Unit Investment Fund Finam – Capital Investment managed by B&N FINAM Group Asset Management LLC |
BROFAM ASSETS LIMITED (VERFARM HOLDING LTD), Vionmane Ltd, E.V. Agapov, V.A. Stavitskiy, A.A. Pechenikin, Yu.A. Zubtsova, V.V. Bondarenko, E.A. Babaev, V.O. Tishin, V.V. Fomichev, KIT Finance Invest (LLC), KIT Finance Trade (LLC), EFNS-GROUP LLC |
from 18.07.2013 to 21.07.2015 |
Dispatch of orders aimed at preventing similar violations in future |
|
80 |
2018 |
Market manipulation |
Performance of securities transactions by prior agreement for the purpose, among other things, of deceit as to the price of such securities. As a result of such transactions, the price of securities was maintained at a level significantly different from that which would have emerged in the absence of such operations. |
Investment units of Closed-end Equity Unit Investment Fund Finam – Information Technologies managed by LLC Management Company Finam Management |
BROFAM ASSETS LIMITED (VERFARM HOLDING LTD), GOSTEMISO TRADING LTD, Vionmane Ltd, A.A. Lebedev, T.L. Zemlyanskaya, A.N. Zemlyansky, N.M. Arshinova, A.I. Belevtsev, S.A. Dyatlova, A.S. Mineev, E.V. Filippov, G.A. Obukhov, V.V. Sitkov, V.G. Sukhanov, A.A. Semenyak, A.V. Shandula, D.V. Mamonov |
from 12.04.2012 to 30.06.2015 |
Dispatch of orders aimed at preventing similar violations in future |
|
79 |
2018 |
Market manipulation |
Performance of mutual equity transactions by prior agreement leading to a significant deviation of trading parameters. Most transactions did not have any economic sense |
Ordinary shares of PJSC Uniform Techno Systems |
D.A. Litvinov, A.S. Lashkov, D.S. Zelenya, A.Yu. Yakovlev and LLC Omega Trade |
from 01.06.2015 to 23.01.2017 |
Orders were sent to D.A. Litvinov, A.S. Lashkov, D.S. Zelenya, A.Yu. Yakovlev and LLC Omega Trade aimed at preventing similar violations in future as well as to professional securities market participants and PJSC Moscow Exchange to block trading accounts of D.A. Litvinov, A.S. Lashkov, D.S. Zelenya, A.Yu. Yakovlev and LLC Omega Trade |
|
78 |
2018 |
Misuse of insider information |
Transfer of insider information contained in FX sale orders and its use by the counterparty to conduct deals in organised trading and to make extra profit |
FX instruments USDRUB_TOM and USDRUB_TOD |
K.A. Semeshkin and A.N. Bessonov |
from 18.12.2015 to 29.12.2015 |
Inspection materials were sent to law enforcement authorities |
|
77 |
2018 |
Misuse of insider information |
Use of insider information of a professional securities market participant by the author of mirror trading strategies to conduct deals over his own client accounts and to make extra profit |
Ordinary shares of PJSC Aeroflot, ordinary shares of PJSC FSK UES, ordinary shares of PJSC Magnit, ordinary shares of PJSC Gazprom, ordinary shares of PJSC Inter RAO, ordinary shares of PJSC ALROSA, ordinary shares of PJSC Lukoil, ordinary shares of OJSC MMK, ordinary shares of PJSC NLMK, ordinary shares of OJSC Raspadskaya, ordinary shares of PJSC AFK Sistema, ordinary and preferred shares of OJSC Surgutneftegaz, ordinary shares of PJSC RusHydro, ordinary shares of PJSC Mining and Metallurgical Company Norilsk Nikel, ordinary shares of PJSC MegaFon, ordinary and preferred shares of PJSC Oil Company Bashneft, ordinary shares of VTB Bank PJSC, ordinary shares of PJSC Rosseti, ordinary shares of PJSC Mosenergo, ordinary shares of PJSC Mechel, ordinary shares of PJSC OGK-2, ordinary shares of PJSC Uralkali, ordinary shares of PJSC Rostelecom, ordinary shares of PJSC PhosAgro, ordinary shares of PJSC Severstal, preferred shares of PJSC Sberbank, preferred shares of PJSC Lenenergo |
E.T. Marlamov |
from 08.06.2016 to 22.02.2018 |
Inspection materials were sent to law enforcement authorities |
|
76 |
2018 |
Markets manipulation |
Performance of a number of mutual equity transactions by prior agreement leading to a significant deviation of trading parameters |
Ordinary shares of PJSC IC Rosgosstrakh |
A.I. Perkin, K.A. Davlyatshina, F.A. Khomenok, A.S. Denisov |
from 10.12.2013 to 28.04.2016 |
Orders were sent to A.I. Perkin, K.A. Davlyatshina, F.A. Khomenok and A.S. Denisov aimed at preventing similar violations in future. |
|
75 |
2018 |
Markets manipulation |
Performance of transactions with certain bonds by prior agreement leading to a significant deviation of trading parameters |
Series 01 bonds of LLC DeloPorts, series 02 bonds of LLC Kuzbassenergo-Finans, series 01 bonds JSC PKT; series BO-01 exchange-traded bonds of LLC RSG Finans, series BO-04 exchange-traded bonds of PJSC Irkut Corporation; government bonds of the Smolensk Region issued in 2013 |
A.P. Grishin, D.P. Grishin |
from 21.01.2016 to 12.02.2016 |
Orders were sent to A.P. Grishin and D.P. Grishin aimed at preventing similar violations in future as well as to professional securities market participants and PJSC Moscow Exchange to block trading accounts of A.P. Grishin and D.P. Grishin |
|
74 |
2018 |
Markets manipulation |
Performance of a number of mutual equity transactions by prior agreement leading to a significant deviation of trading parameters. Most transactions did not have any economic sense |
Ordinary shares of PJSC MRSK Tsentra and PJSC Samaraenergo, preferred shares of PJSC Samaraenegro and PJSC KSK |
V.V. Moskovkin, I.N. Moskovkina |
from July 2014 to December 2015 |
Orders were sent to V.V. Moskovkin and I.N. Moskovkina aimed at preventing similar violations in future as well as to professional securities market participants and PJSC Moscow Exchange to block trading accounts of V.V. Moskovkin and I.N. Moskovkina |
|
2017 |
|||||||
|
73 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
| 2016 | |||||||
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
| 2015 | |||||||
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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 |
|
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 |
|
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 |
|
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. |
| 2014 | |||||||
|
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. |
|
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 |
|
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. |
|
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 |
|
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 |
|
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 |
|
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 |
| 2013 | |||||||
|
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. |
|
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. |
|
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 |
|
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. |
|
|
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. |
|
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 |
|
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. |
|
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 |
|
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 |
| 2012 | |||||||
|
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. |
|
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. |
| 2011 | |||||||
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
|
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. |
| 2010 | |||||||
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |