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Regulation
Israel Fines an Unlicensed Binary Options Provider for the First Time
D.G.I Media has to pay NIS 500,000 for operating a binary options brokerage against regulations.
Wednesday, 16/11/2016 | 11:35 GMT
by
Avi Mizrahi
Regulation
EZTD Hit with $200K Fine over Legacy Issues
The binary options provider has been fined by the SEC for operating in the US.
Thursday, 10/11/2016 | 22:21 GMT
by
Jeff Patterson
Regulation
Yorkshire Group Charged $1.5m for Illegal Transactions
The Yorkshire Group illegally solicited and accepted funds from retail customers to purchase physical precious metals.
Thursday, 20/10/2016 | 06:59 GMT
by
Finance Magnates Staff
Regulation
Venbey Yatırım Fined Over $110K by Turkish Capital Markets Watchdog
Turkish forex broker Venbey Yatırım is fined after an on-site inspection by the local authorities.
Tuesday, 18/10/2016 | 14:08 GMT
by
Avi Mizrahi
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.
Wednesday, 12/10/2016 | 19:24 GMT
by
Jeff Patterson
Regulation
NFA Reaches Settlement with ZuluTrade, Fines Giohais $30,000
ZuluTrade and its CEO receive a slap on the wrist from US watchdog.
Sunday, 02/10/2016 | 06:06 GMT
by
Avi Mizrahi
Regulation
Wells Fargo Banking Executive to Leave with $95 Million in Options
Former Exec Carrie Tolstedt is leaving the bank with a hefty payout in stock and options.
Thursday, 15/09/2016 | 12:26 GMT
by
Finance Magnates Staff
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Regulation
SFC Fines HSBC $2.5 Million for Internal Control Failures
HSBC has breached the SFC’s code of conduct relating to position limits and has been fined accordingly.
Wednesday, 14/09/2016 | 10:33 GMT
by
Finance Magnates Staff
Regulation
SFC Fines Morgan Stanley HK Securities $18.5m for Internal Control Failures
Hong Kong's SFC has reprimanded and fined Morgan Stanley Hong Kong Securities for a series of breaches.
Wednesday, 24/08/2016 | 10:32 GMT
by
Finance Magnates Staff
Regulation
Mega International Commercial Bank Fined $180m for AML Violations
Taiwan is investigating whether Mega Financial and its banking unit broke local criminal laws after receiving a US fine.
Tuesday, 23/08/2016 | 10:15 GMT
by
Finance Magnates Staff
Regulation
CySEC Imposes €2,000 Fine on M&L Invest Union Markets
Yet another forex brokerage has been fined by the Cyprus regulator.
Wednesday, 10/08/2016 | 14:11 GMT
by
Finance Magnates Staff
Regulation
Barclays Capital Fined $800,000 by CFTC for Supervision Failures
Supervisory failures over exchange and clearing fee processing led to customers being overcharged.
Thursday, 04/08/2016 | 17:53 GMT
by
Finance Magnates Staff
Prime Brokerage
Federal Reserve Fines Goldman Sachs $36.3m, Goes After Managing Director
The U.S. central bank has slapped a major fine on Goldman Sachs for leaking Fed documents.
Wednesday, 03/08/2016 | 16:08 GMT
by
Victor Golovtchenko
Regulation
Hong Kong’s SFC Fines SynerWealth Financial Ltd $2.7 Million
The SFC penalises another financial services provider for failing to report deficiencies in its trading system.
Tuesday, 31/05/2016 | 10:51 GMT
by
Finance Magnates Staff
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Regulation
SFC Fines Hong-Kong Based Guotai Junan Securities $1.3 million
Hong Kong’s SFC imposes fine for failure to comply with its regulatory requirements regarding client identity.
Monday, 30/05/2016 | 11:45 GMT
by
Finance Magnates Staff
Regulation
Citi Draws $250m Fine for Charges Surrounding USD ISDAFIX
The fines at Citi keep coming, this time a $250 million penalty for manipulating the USD ISDAFIX.
Wednesday, 25/05/2016 | 14:07 GMT
by
Jeff Patterson
Regulation
CFTC Fines Citi, Affiliates for $175m for Yen LIBOR Manipulation
Citi and several Japanese affiliates were on the hook for $175M after their role in LIBOR manipulation and wrongdoing.
Wednesday, 25/05/2016 | 13:22 GMT
by
Jeff Patterson
Execution
SEC Announces Latest Settlement for $100k in Hacked News Story
Latest SEC settlement is with Oleksandr Makarov, bringing total recovered to $52 million.
Wednesday, 11/05/2016 | 08:14 GMT
by
Steven Hatzakis
Regulation
CFTC Fines Chicago FCM $150K over Several Historical Reporting Violations
Cunningham Commodities LLC and one of the company’s controllers were fined.
Tuesday, 10/05/2016 | 09:36 GMT
by
Steven Hatzakis
Regulation
CFTC Fines Brian Hinman $140k over Fraudulent Mass Email Solicitation
Emails were linked to the CFTC related action against Revelation Forex Fund.
Tuesday, 12/04/2016 | 20:02 GMT
by
Steven Hatzakis
Regulation
Moody’s Forced to Pay $11M Over “Red Flags" Report
SFAT has affirmed the SFC’s previous decision and fined Moody’s $11 million for painting a misleading picture of Chinese companies.
Tuesday, 05/04/2016 | 12:16 GMT
by
Damian Chmiel
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Regulation
Mayzus Investment Company Fined €12K by CySEC
Cypriot watchdog imposes a total of two penalties on the CIF licensed company.
Thursday, 31/03/2016 | 19:18 GMT
by
Damian Chmiel
Regulation
LIBOR Conspirator Tom Hayes Ordered to Pay £878k Fine
Tom Hayes was given a confiscation order of £878k for LIBOR manipulation
Wednesday, 23/03/2016 | 14:49 GMT
by
Jeff Patterson
Regulation
NFA Settles with California IB for $125000 over a Fabricated Email
Hollencrest Securities gets NFA fine after ex-employee fabricated email.
Thursday, 17/03/2016 | 15:55 GMT
by
Steven Hatzakis
Regulation
SpotOption Exchange and BDSwiss Get Administrative Fines as CySEC Gets Tough
CySEC is ramping up its efforts to address complaints received from clients of Cyprus regulated brokers.
Wednesday, 16/03/2016 | 11:31 GMT
by
Victor Golovtchenko
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