AUSTRAC Fines Compass Global Holdings $173,000 The agency issued the infringement notice to the company for failing to report international funds transfers.
Banc de Binary and CySEC Reach $300,000 Settlement The broker and regulator reached the agreement in March of this year
Prostitutes and Dodgy Loans: Bank of Scotland Fined £45 Million The FCA said the firm failed to inform it of an array of fraudulent activity back in 2007
Essex Express: 5 Banks Fined 1 Billion Euros for FX Collusion Commenting on the fine, the European Commission said that it "will not tolerate collusive behaviour" in the financial markets
FCA Fines UBS AG £27.6m for Transaction Reporting Failures The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the ...
FCA Confirms its Record £76M Fine Against Keydata Former CEO Nearly 37,000 people lost out as a result of the poor performance of the so-called “death bonds.”
Commerzbank AG Fined $12 Million for Swap Dealing Violations The firm has been charged by the CFTC with failing to supervise its swap dealing activities.
CFTC Slaps ICAP with $50 Million Fine for Benchmark Manipulation For around five years swaps brokers at ICAP helped its bank clients manipulate the USD ISDAFIX benchmark.
US CFTC Charges Twelve FX and Binary Firms with Variety of Infractions The Commodity Futures Trading Commission handed out fines totalling more than $1.2 million.
ING to Pay $5 Million to Settle Misconduct Charges on NYSE This is the second announcement of a fine against the bank this week.
FINRA Fines Interactive Brokers $5.5 Million for Violating SEC Regulation The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.
CFTC Fines Minneapolis Futures Broker $100,000 for Fraudulent Misconduct Christian Robert Mayer has been charged with engaging in a fraudulent trading scheme by the commodities regulator.
CFTC Fines Lansing Trade Group $3.4 million Lansing was charged with trying to manipulate the price of wheat futures and options contracts on the CBOT.
US Jury Finds Former State Street Executive Guilty of Secret Fees Fraud McLellan was one of four State Street’s executives who devised a scheme to overcharge clients without their consent.
Barclays CEO Jes Staley Fined over $850,000 by UK Authorities The UK FCA and PRA jointly fined the former Barclay’s chief over lack of supervision of whistleblowing
UBS Securities Asia Limited Reprimanded and Fined $4.5 Million by SFC The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.
FCA Fines Former Deutsche Bank Trader £180,000, Issues Indefinite Ban Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA. ...
CySEC fines UFX Parent Reliantco Investments Ltd. €95,000 over Legacy Issues The brokerage has already implemented changes to its risk warnings and advertising and on-boarding practices.
FXCM Asia Limited Draws Additional Fine from SFC Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.
ANZ Reaches $50m Settlement with ASIC Following Breach in Trading Conduct A small group of ANZ traders engaged in misconduct on the BBSW market between 2010-12.