Preview Mode

FM Home
> Pecuniary penalty
Understanding Stock Splits: Everything You Need to Know
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
How to Buy Stocks: A Step-by-Step Guide
Education Center
Radix Babylon Upgrade Marks New Era for Web3 User and Developer Thought Leadership

pecuniary penalty

Search for a tag
Institutional FX

SIX Fines Swissquote CHF 75K for Violation of Ad hoc Publicity Rule

  • The enforcement penalizes a June 16, 2021 press release distribution by Swissquote.
  • Swissquote says the sanction was reduced from CHF 125K for being less severe.
by Solomon Oladipupo
Institutional FX

FINRA Slams $165k Fine on Instinet for Data Inaccuracy and Poor Supervision

  • Instinet published 54 inaccurate monthly reports between 2015 and 2019.
  • The broker also under-reported about 5% of the total covered orders during the period.
by Solomon Oladipupo
Institutional FX

US SEC Recovers Record $6.4bn in Penalties and Disgorgement in FY22

  • The number of recovered funds shot up 67% from the prior year's $3.9 billion.
  • The SEC paid a record $229 million to whistleblowers in FY22.
by Solomon Oladipupo
Institutional FX

16 Wall Street Firms to Pay $1.1B for 'Off-Channel Communications'

  • The firms include Barclay Capital, BofA, Citigroup and Goldman Sachs, among others.
  • The violation happened between January 2018 and September 2021.
by Solomon Oladipupo
FinTech

Hong Kong Imposes HK$6M Fine on Commerzbank AG for AML Lapses

  • The offence was committed between April 2012 and June 2016.
  • HKMA said Commerzbank AG has taken 'prompt remedial action'.
by Solomon Oladipupo
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}