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Europe's Economic Crossroads: Recession Fears and S&P Global's
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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
Regulation
Breaking: IBFX Failed to Meet Capital Requirements Post SNB Crisis
IBFX will pay $1 million to settle with the US Commodity Futures Trading Commission due to minimum capital requirements violations.
Monday, 14/03/2016 | 20:59 GMT
by
Victor Golovtchenko
Regulation
SEC Impersonators Sift For Fees in Banc De Binary Settlement
The SEC has issued an alert after entities impersonating the regulator requested that clients to pay a fee for settlements.
Wednesday, 09/03/2016 | 19:21 GMT
by
Jeff Patterson
Regulation
Banc De Binary to Pay $11m Settlement to US Regulators
Following a multi-year investigation Banc De Binary is to pay $11m to settle with CFTC/SEC over allegations of illegally soliciting US clients.
Thursday, 25/02/2016 | 18:44 GMT
by
Steven Hatzakis
Regulation
US Tech Company Fined $28 Million over Chinese Officials Bribe
Chinese corruption binge brought onshore by an SEC investigation.
Tuesday, 16/02/2016 | 19:47 GMT
by
Steven Hatzakis
Regulation
Goldman Sachs Settles Pre-Financial Crisis Claims With $5.0B Settlement
Goldman will settle a claim to resolve state and federal investigations into its improper handling of mortgage-backed securities.
Friday, 15/01/2016 | 12:14 GMT
by
Jeff Patterson
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Regulation
Barclays and Citigroup Draw Lawsuits From Former FX Traders
Jack Murray and Carly McWilliams are suing their former employers on the grounds of unfair dismissal at a London court.
Thursday, 14/01/2016 | 16:26 GMT
by
Jeff Patterson
Regulation
FINRA Slaps $1 Million Fine on Fidelity Brokerage for Oversight Failures
Fidelity Brokerage drew a collective fine of in excess of $1 million for failing to detect or prevent the theft of a similar amount.
Friday, 18/12/2015 | 15:40 GMT
by
Jeff Patterson
Regulation
SFC Levies $30 Million Fine Against JP Morgan’s Subsidiaries For Breaches
JP Morgan Broking, and its APAC and Far East subsidiaries, were fined a collective $30 million following an SFC investigation.
Tuesday, 15/12/2015 | 10:34 GMT
by
Jeff Patterson
Regulation
Exclusive: CySEC Set to Announce More Regulatory Fines in the Near Future
The financial regulatory body in Cyprus is waking up after years of lethargy. Are its actions timely and how far can they go?
Friday, 04/12/2015 | 19:56 GMT
by
Victor Golovtchenko
Brokers
CySEC Fines Depaho Ltd for €233k Following Myriad Compliance Shortcomings
Depaho Ltd has incurred a series of fines totaling €233k after it failed to appropriately adhere to CySEC's compliance legislation
Friday, 27/11/2015 | 15:12 GMT
by
Jeff Patterson
Regulation
FCA Slams Barclays with Fresh $108-Million Fine
The UK markets regulator found that the bank had neglected its own due diligence procedures.
Thursday, 26/11/2015 | 10:24 GMT
by
Irina Slav
Regulation
Barclays in for Another Hefty Forex Fine
New York’s Department of Financial Services starts hunt down of European banks
Tuesday, 17/11/2015 | 21:12 GMT
by
Irina Slav
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Regulation
Australian Watchdog Fines XForex for Misleading Advertising
The payment of the infringement notices penalties is not an admission of a contravention of the ASIC Act consumer protection provisions.
Tuesday, 03/11/2015 | 06:46 GMT
by
Avi Mizrahi
Analysis
Hong Kong Watchdog Fines Okasan International for Profit Disclosure Failures
Okasan Securities’ Asian arm has repeatedly failed to disclose the profits made from back-to-back operations on clients' behalf
Monday, 02/11/2015 | 11:29 GMT
by
Irina Slav
Regulation
French Regulator Slaps FXCM with €200,000 Fine
The ruling was made public on the AMF website in French, adding a reputational cost to FXCM's brand in France on top of the monetary fine.
Wednesday, 28/10/2015 | 15:40 GMT
by
Avi Mizrahi
Regulation
UBS to Pay $19.5 Million Over Hedging Own FX Index
SEC: UBS employees were engaging in practices that had or could have had a negative impact on the price inputs used to calculate the V10 index.
Tuesday, 13/10/2015 | 19:50 GMT
by
Avi Mizrahi
Regulation
FXCM Ordered to Pay More Than $843,000 Over Revelation Forex
FXCM failed to identify or report warning signs in violation of its own compliance procedures
Tuesday, 08/09/2015 | 21:26 GMT
by
Avi Mizrahi
Regulation
Brazilian Watchdog Warns IronFX Is Unauthorized to Operate in the Country
The Brazilian declaration mandates the immediate suspension of any public offering of investment opportunities by IronFX.
Wednesday, 19/08/2015 | 18:21 GMT
by
Avi Mizrahi
Regulation
OZ Management LP Fined $4.25 Million For Misleading Data
The firm's dodgy data beleaguered the books of its four prime brokers and flowed into various SEC records and data.
Tuesday, 14/07/2015 | 15:54 GMT
by
Andy Traveller
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Regulation
CommexFX and Director Fined for Misleading Cyprus Regulators
After suspending the license of CommexFX, CySEC reveals that it has fined the firm €100,000 and Abdel Rahman El Amary €30,000.
Monday, 06/07/2015 | 10:47 GMT
by
Avi Mizrahi
Regulation
SEC Goes after Adviser Who Allegedly Stole $300,000 from Mike Tyson
SFX Financial Advisory Management Enterprises specializes in providing financial management services to professional athletes
Monday, 15/06/2015 | 20:22 GMT
by
Avi Mizrahi
Regulation
BNY Mellon Corp Settles FX Lawsuit Worth $180 Million
The regulatory fallout surrounding FX rates continues, with BNY Mellon settling a lawsuit for $180 million.
Friday, 22/05/2015 | 05:48 GMT
by
Jeff Patterson
Blogs
Stephonomics: Bank Fines - Do They Matter and Who Do They Affect?
Electronic trading accounted for 72% of all currency transactions in 2014 as opposed to 20% in 2001.
Tuesday, 28/04/2015 | 16:07 GMT
by
Stephen Simonis Senior
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