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Deutsche Bank Securities ‎

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Institutional FX

16 Wall Street Firms to Pay $1.1B for 'Off-Channel Communications'

  • The firms include Barclay Capital, BofA, Citigroup and Goldman Sachs, among others.
  • The violation happened between January 2018 and September 2021.
by Solomon Oladipupo
Institutional FX

FINRA Fines Deutsche Bank Securities for Best Execution Violations

  • The authority alleges that SuperX trading system created an inherent delay for orders.
  • DBS also failed to disclose material aspects of its relationship with the markets.
by Felipe Erazo
Executive Moves

Blockchain.com Nominates CJ Rinaldi as Its New Chief Compliance Officer

  • CJ Rinaldi will develop the crypto services provider’s established global compliance frameworks and more.
by Tom Hazan
Execution

Deutsche Bank Pays $10.25M in Reporting Failures, Spoofing Settlements

  • A 5-day systems outage in 2016 revealed the German lender unprepared for such disasters. It paid $1.25M in spoofing case.
by Aziz Abdel-Qader
Executive Moves

John Cryan Chosen as Next Man Group Chairman

  • The former Deutsche Bank CEO will replace Ian Livingstone in the new year
by David Kimberley
Regulation

Deutsche Bank Execs Were Aware of Tax Fraud Scheme

  • The German banking giant is already embroiled in Danske Bank's money laundering scandal
by David Kimberley
Executive Moves

Deutsche Bank Sheds 30 Percent of Asia Division in 6 Months

  • Cuts and low morale have led a number of employees to leave the company's investment banking division.
by David Kimberley
Regulation

Deutsche Bank Ordered to Pay $70 Million for Manipulation of USD Swap Rates

  • The German investment bank reportedly intentionally attempted to alter benchmark levels to benefit its personal positions.
by Finance Magnates Staff
Regulation

FINRA Slaps $3.25m Fine on Deutsche Bank Securities for ATS Violations

  • Deutsche Bank Securities has been fined for failing to provide uniform information to Alternative Trading System users.
by Jeff Patterson
Regulation

SEC Fines Deutsche Bank $9.5M After Improperly Disclosing Equity Research

  • Following the leaking of equity research, the regulator fined Deutsche Bank Securities $9.5M.
by Jeff Patterson
Regulation

FINRA Levies $6 Million Fine on Deutsche Bank For Late “Blue Sheets”

  • FINRA fines Deutsche Bank AG's securities arm for submitting inaccurate and late trade data.
by Aziz Abdel-Qader
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