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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
BNP Paribas Slapped with $350m Fine After FX Trading Manipulation
A NY regulator has fined BNP $350m after a dozen traders manipulated FX prices back in the 2000s.
Wednesday, 24/05/2017 | 17:07 GMT
by
Jeff Patterson
Regulation
Israeli Regulator Fines ATRADE for Misleading Advertising
AvaTrade's Israeli branch is fined for suggesting that it's safer to trade with a licensed brokerage.
Tuesday, 09/05/2017 | 11:22 GMT
by
Avi Mizrahi
Brokers
Breaking: Plus500 Settles with Belgium Regulator for €550K
Plus500 has reached a settlement with Belgium's FSMA, focusing on its offering of specific instruments.
Tuesday, 25/04/2017 | 06:43 GMT
by
Jeff Patterson
Regulation
Barclays’ CEO Faces Probe, Pay Cut After Whistleblower Allegations
Jes Staley is facing a probe from US and UK regulators over his alleged unmasking of a whistleblower.
Monday, 10/04/2017 | 06:49 GMT
by
Jeff Patterson
Brokers
CommexFX’s CIF License Withdrawn Following String of Suspensions, Fines
Following a lengthy suspension, CySEC has rescinded the CIF license of CommexFX.
Thursday, 06/04/2017 | 09:23 GMT
by
Jeff Patterson
Regulation
WhatsApp Snafu Earns Jefferies MD, Christoper Niehaus $46k Fine from FCA
Christoper Niehaus was fined $46,000 from the FCA for improperly sharing sensitive client information over WhatsApp.
Friday, 31/03/2017 | 10:48 GMT
by
Jeff Patterson
Regulation
CFTC Fines Binary Options Provider, Vision Financial Partners $6.5M
Neil Pecker Vision Financial Partners were slapped with a $6.5m fine and a permanent ban by the CFTC.
Tuesday, 21/03/2017 | 16:12 GMT
by
Jeff Patterson
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Regulation
US Department of Justice Closes Probe into Deutsche Bank's FX Activities
A US DoJ investigation has been closed, yielding no fine for Deutsche Bank after a probe into its FX activities.
Monday, 20/03/2017 | 16:48 GMT
by
Jeff Patterson
Brokers
CySEC Slaps €64,000 Fine on PriorFX for Multiple Charges
PriorFX is regulated by CySEC, license 221/13, and therefore has to comply with Cypriot regulations.
Thursday, 23/02/2017 | 16:11 GMT
by
Aziz Abdel-Qader
Regulation
RBS Fined $85 Million by CFTC for Manipulation of ISDAfix
Amongst themselves, RBS traders joked about their attempts to manipulate the USD ISDAFIX.
Friday, 03/02/2017 | 17:48 GMT
by
Aziz Abdel-Qader
Regulation
CFTC Orders E*TRADE Securities, Clearing to Pay $280K for Supervisory Failures
CFTC has levied a joint civil monetary penalty against E*TRADE's subsidiaries.
Thursday, 26/01/2017 | 18:12 GMT
by
Jeff Patterson
Regulation
RBS: Multi-Billion Pound Fine for Mis-Selling Imminent
The RBS board is due to sign off a massive charge for mis-selling mortgage-backed securities.
Thursday, 26/01/2017 | 07:27 GMT
by
Finance Magnates Staff
Brokers
Bdswiss Holding Settles with CySEC for €150K After Suspected Breach of Conduct
BDSwiss reached a settlement with CySEC for €150k amidst suspected violations of business conduct.
Monday, 23/01/2017 | 14:21 GMT
by
Jeff Patterson
Regulation
Citigroup Hit with $25m Fine by CFTC for Spoofing, Supervisory Failures
Citigroup was handed a $25 million civil monetary penalty for its role in spoofing.
Thursday, 19/01/2017 | 16:18 GMT
by
Jeff Patterson
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Regulation
Morgan Stanley Ordered to Pay $13m Penalty for Overcharging Clients
Long-running deficiencies in safeguards resulted in billing errors causing customers to be overcharged.
Friday, 13/01/2017 | 19:33 GMT
by
Finance Magnates Staff
Regulation
ITG Settles for Over $24m with SEC Over ADR Securities Violations
ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
Thursday, 12/01/2017 | 16:57 GMT
by
Jeff Patterson
Regulation
US Bank Regulator Imposes $33m Fine on HSBC for Administration Failures
The bank has received another hefty fine for account failures that were considered unsafe and unsound.
Tuesday, 10/01/2017 | 07:58 GMT
by
Finance Magnates Staff
Regulation
Ex-Barclays Trader Faces $1m Fine and Jail Sentence for Currency Rigging
Jason Katz has pleaded guilty to price-fixing charges and has been banned from the banking industry.
Friday, 06/01/2017 | 07:17 GMT
by
Finance Magnates Staff
Regulation
Hong Kong's SFC Fines MIS Services $3 Million for Regulatory Breaches
The firm has been penalised for falling short of its key personnel requirements.
Tuesday, 03/01/2017 | 11:00 GMT
by
Finance Magnates Staff
Regulation
Colmex Pro Fined €100,000 by CySEC for Non-Compliance Issues
Founded in 2010, Colmex Pro offers investing and trading services across Europe based on its Cyprus license.
Tuesday, 27/12/2016 | 14:44 GMT
by
Avi Mizrahi
Prime Brokerage
Deutsche Bank Reiterates Capital Strength Following US Settlement
The recent settlement with US authorities will not affect the bank's credit rating or its ability to operate in the US.
Friday, 23/12/2016 | 19:08 GMT
by
Jeff Patterson
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Regulation
Goldman Sachs Fined $120m, Following USD ISDAFIX Manipulation Charges
Goldman Sachs was charged with manipulating the USD ISDAFIX to help benefit its derivatives positions.
Wednesday, 21/12/2016 | 16:14 GMT
by
Jeff Patterson
Brokers
NFA Fines Avail Trading, David Manoukian $30k for Multiple Violations
Avail Trading and David Manoukian have settled with the NFA following a complaint earlier this year.
Monday, 19/12/2016 | 22:08 GMT
by
Jeff Patterson
Regulation
SEC Settles $37m Charges with Deutsche Bank Over Order Router Lapse
Deutsche Bank has agreed to settle with the SEC and the NY Attorney General’s office for $37m.
Friday, 16/12/2016 | 21:12 GMT
by
Jeff Patterson
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.
Friday, 16/12/2016 | 16:45 GMT
by
Jeff Patterson
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