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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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India Catching Up on China Investment-Wise: What is Not Right?
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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India Catching Up on China Investment-Wise: What is Not Right?
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Regulation
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.
Friday, 09/11/2018 | 10:54 GMT
by
Celeste Skinner
Brokers
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.
Wednesday, 19/09/2018 | 06:08 GMT
by
Celeste Skinner
Regulation
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.
Sunday, 16/09/2018 | 11:54 GMT
by
Finance Magnates Staff
Regulation
ING to Pay $5 Million to Settle Misconduct Charges on NYSE
This is the second announcement of a fine against the bank this week.
Friday, 07/09/2018 | 06:35 GMT
by
Celeste Skinner
Brokers
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.
Monday, 20/08/2018 | 16:40 GMT
by
Celeste Skinner
Regulation
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.
Friday, 10/08/2018 | 18:37 GMT
by
Celeste Skinner
Regulation
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.
Friday, 13/07/2018 | 07:11 GMT
by
Celeste Skinner
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Regulation
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.
Tuesday, 26/06/2018 | 20:12 GMT
by
Aziz Abdel-Qader
Regulation
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
Friday, 11/05/2018 | 13:54 GMT
by
Victor Golovtchenko
Regulation
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.
Wednesday, 21/03/2018 | 12:30 GMT
by
Finance Magnates Staff
Regulation
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.
Monday, 05/03/2018 | 14:13 GMT
by
Finance Magnates Staff
Regulation
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.
Wednesday, 20/12/2017 | 16:09 GMT
by
Victor Golovtchenko
Regulation
FXCM Asia Limited Draws Additional Fine from SFC
Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.
Wednesday, 13/12/2017 | 11:01 GMT
by
Jeff Patterson
Regulation
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.
Friday, 10/11/2017 | 09:05 GMT
by
Jeff Patterson
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Regulation
ETrade HK Fined for Unauthorized Marketing in Hong Kong
ETrade US was fined for licensing lapses by the Hong Kong regulator.
Friday, 22/09/2017 | 15:03 GMT
by
Colin Firth
Brokers
US CFTC Fines Ikon Global Markets for Inadequate Recordkeeping
A $200,000 settlement is due to be paid to the US regulator by the defunct company.
Thursday, 31/08/2017 | 20:03 GMT
by
Victor Golovtchenko
Regulation
CFTC Fines New York Resident $635,000 for Commodity Futures Scam
Simon Posen, who ran the operation on his own, has been banned from trading in CFTC regulated markets.
Thursday, 27/07/2017 | 11:04 GMT
by
Finance Magnates Staff
Regulation
Deutsche Börse CEO’s Trading Probe Continues Despite $12m Settlement
BaFin has opened its own investigation into Deutsche Börse potentially misleading the public.
Thursday, 20/07/2017 | 10:16 GMT
by
Jeff Patterson
Regulation
FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting
The bank did not account for numerous conventional options positions between January 2010 and July 2016.
Wednesday, 19/07/2017 | 11:11 GMT
by
Finance Magnates Staff
Regulation
ISA Fines Israeli Forex Brokerage RFX $35K over Incomplete Reports
The broker’s clean track record saved it 75 percent of the original penalty.
Tuesday, 11/07/2017 | 11:01 GMT
by
Finance Magnates Staff
Brokers
CySEC Slaps €195k Fine, Ban on Falcon Brokers Limited’s Leadership
An eighteen month investigation into Falcon Brokers Ltd. has concluded with its harshest penalties to date.
Monday, 10/07/2017 | 11:29 GMT
by
Jeff Patterson
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Regulation
CFTC Fines Futures Commission Merchant MTI $5 Million for Live Cattle Fraud
McVean Trading and Investments LLC brokerage has been charged with inserting false information into the market.
Thursday, 22/06/2017 | 11:06 GMT
by
Finance Magnates Staff
Prime Brokerage
Deutsche Bank Proposes to Forgo Bonuses to Ex-Executives for Legal Immunity
The bank has offered to forfeit bonuses owed to 10 ex-managers, which would absolve them of damage claims and guilt.
Tuesday, 13/06/2017 | 10:51 GMT
by
Jeff Patterson
Regulation
EU Fines Moody's for its Credit Rating of EU Financial Bodies
For the EU it seems that if you don't like the message, fine the messenger.
Thursday, 01/06/2017 | 09:32 GMT
by
Avi Mizrahi
Prime Brokerage
Chinese Regulatory Authorities Take Aim at Brokerage Abuse with Fines
Citic Securities, Haitong Securities, and Guosen Securities have all been fined by the Chinese regulator.
Wednesday, 24/05/2017 | 17:58 GMT
by
Jeff Patterson
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