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Institutional FX
Barclays Fined £26 Million for Mistreating Borrowers
The bank has already initiated the redressing program and paid over £273 million.
Tuesday, 15/12/2020 | 12:28 GMT
by
Arnab Shome
Institutional FX
US Court Slaps $7 Million Fine on TFS-ICAP for Misleading Clients
The former CEO and emerging markets desk head were penalized with $500,000 each.
Tuesday, 15/12/2020 | 06:59 GMT
by
Arnab Shome
Institutional FX
StoneX Gets $20,000 Fine for Alleged Trade Transfer Violations
The company did not admit or deny the allegations.
Monday, 14/12/2020 | 08:16 GMT
by
Arnab Shome
Regulation
FCA Slaps £3.44 Million Fine on TFS-ICAP
The FX options broker was found guilty of communicating misleading information to clients.
Monday, 23/11/2020 | 14:06 GMT
by
Bilal Jafar
Regulation
FINRA Slaps $475,000 Fine on CitiGroup Global Markets
The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.
Wednesday, 11/11/2020 | 09:23 GMT
by
Bilal Jafar
Regulation
Australia’s AUSTRAC Issues $1.24 Million Fine to State Street
The Australian agency issued the fine to the bank for failing to report international funds transfers.
Wednesday, 16/09/2020 | 03:12 GMT
by
Celeste Skinner
Institutional FX
Standard Chartered Faces $13.6M Fine for Indian Bank Takeover
The British bank did not comply with the local regulatory rules for transactions in the 13-year-old deal.
Tuesday, 08/09/2020 | 07:47 GMT
by
Arnab Shome
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Regulation
Morgan Stanley Accepts $175,000 Fine from FINRA to Settle Charges
FINRA has accused the bank of failing to supervise one of its registered representatives.
Thursday, 13/08/2020 | 07:09 GMT
by
Celeste Skinner
Regulation
Citadel Securities Fined $700K for Alleged Breach of FINRA Rules
FINRA accused the company of trading ahead of certain inactive OTC customer orders.
Monday, 20/07/2020 | 02:52 GMT
by
Celeste Skinner
Execution
ASIC: Credit Suisse Pays US$51.9K Penalty for NXXT Trades
Credit Suisse will pay the penalty to comply with MDP infringement notice.
Friday, 03/07/2020 | 02:32 GMT
by
Celeste Skinner
Regulation
JAFX to Pay Penalty of $600,000 in Prospective Settlement with CFTC
The CFTC charged JAFX with operating as an unregistered forex dealer in the US.
Thursday, 18/06/2020 | 07:38 GMT
by
Celeste Skinner
Regulation
US District Court Orders Eyal Alper to Pay $352,901 for FX Scam
Alper has been charged by the CFTC for committing a fraudulent foreign exchange scheme.
Wednesday, 03/06/2020 | 07:30 GMT
by
Celeste Skinner
Regulation
FINRA Fines Morgan Stanley $300,000 for Reporting Failures
The regulator said the bank failed to timely report a number of fixed income transactions.
Thursday, 26/03/2020 | 08:35 GMT
by
Celeste Skinner
Regulation
ASIC Fines AMP Capital for Derivative Transaction Reporting Breaches
The regulator also fined AMP Life Limited, which offers life insurance.
Tuesday, 17/03/2020 | 09:26 GMT
by
Celeste Skinner
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Regulation
US SEC Fines Wells Fargo $500 Million for Misleading Clients
The funds from the fine will be distributed to affected clients.
Monday, 24/02/2020 | 08:45 GMT
by
Celeste Skinner
Regulation
FINRA Fines Wedbush Securities $30,000 for Reporting Failures
The company and the regulator have reached a settlement agreement.
Wednesday, 19/02/2020 | 07:48 GMT
by
Celeste Skinner
News
BitFunder Operator to Pay Restitution of $155,500
The restitution obligation is in addition to his 14-month prison sentence.
Wednesday, 23/10/2019 | 06:28 GMT
by
Celeste Skinner
Regulation
SEC Reaches $4.3 Million Settlement with GFI Securities
The broker-dealer was accused of material misstatements regarding customer anonymity.
Monday, 30/09/2019 | 14:08 GMT
by
Celeste Skinner
Brokers
Polish Court Upholds $2.5 Million XTB Fine
The broker was issued with the fine by regulators last September but appealed the decision
Tuesday, 10/09/2019 | 14:13 GMT
by
David Kimberley
Regulation
AUSTRAC Fines Compass Global Holdings $173,000
The agency issued the infringement notice to the company for failing to report international funds transfers.
Tuesday, 10/09/2019 | 09:30 GMT
by
Celeste Skinner
Regulation
Banc de Binary and CySEC Reach $300,000 Settlement
The broker and regulator reached the agreement in March of this year
Wednesday, 14/08/2019 | 09:07 GMT
by
David Kimberley
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Regulation
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
Friday, 21/06/2019 | 10:08 GMT
by
David Kimberley
Regulation
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
Thursday, 16/05/2019 | 12:02 GMT
by
David Kimberley
Regulation
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 case with the regulator
Tuesday, 19/03/2019 | 14:50 GMT
by
David Kimberley
Regulation
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.”
Wednesday, 16/01/2019 | 22:12 GMT
by
Aziz Abdel-Qader
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