Page 27 - 期货和衍生品行业监管动态（2023年1月）

期货和衍生品行业监管动态

3. 对于被指控犯罪期间发生的行为，内幕交易罪可被处以罚款和/或最高 7

年监禁。对于在 2021 年 11 月 1 日或之后发生的行为，内幕交易罪的最

高刑罚是罚款和/或最高 10 年监禁。

4. 洗钱罪可被处以罚款和/或最高 14 年监禁。

5. 若要向 FCA 报告市场滥用行为或希望进行面谈，请参见 FCA 市场滥用

主页。

Five Individuals Face Conspiracy to Insider Deal and Money Laundering

Charges

The FCA Has Started Criminal Proceedings against Five Individuals for

Conspiracy to Commit Insider Dealing and Money Laundering (2023/1/25)

The FCA alleges that Redinel Korfuzi, Oerta Korfuzi, Iva Spahiu, Rogerio de
Aquino and Dema Almeziad conspired to commit offences of insider dealing between

17 December 2019 and 25 March 2021. Specifically, the FCA alleges that Mr Korfuzi

used confidential inside information he accessed as an Analyst in his former role at

Janus Henderson to enable timely and profitable trading in 49 companies through

accounts held by his co-conspirators.

In each case, the defendants used a derivative product called Contracts for

Difference in relation to each of these companies, betting that the value of shares

would go down after the announcements. In doing so, they were able to realise profits

of approximately £1.5 million.

All five are also charged with money laundering offences relating to over 170

cash deposits totalling approximately £200,000.

In March 2021 a multi-site search and arrest operation was conducted by the
FCA with the assistance the Metropolitan Police, and four of the defendants were on

police bail until they appeared before Westminster Magistrates’ Court today.

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