PENALTY

The bank expects to settle its international sanction violations in the coming weeks.

The wealth manager told clients it was executing orders internally when they were really being passed on to other ...

The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.

The MAS has penalized Standard Chartered Bank and Standard Chartered Trust, $3.95 million and $0.91 million, respectively.

Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA. ...

The Cypriot regulator continues to clamp down on non-compliant companies.

The German investment bank reportedly intentionally attempted to alter benchmark levels to benefit its personal positions.

US regulatory bodies remain the lead enforcers of sanctions pertaining to market conduct violations.

Pershing failed to comply with the ASIC’s rules relating to the use of appropriate automated filters for its AOP ...

David Zier made false representations to clients in connection with a commodity pool he operated.

The charges relate to orders placed by Shun Yuen Ken Li with the intention of gaining an advantage for ...

Tim Reissner is being punished by the Singapore authorities for breaches relating to his dealings with 1MDB.

Sheldon Rose was part of a scheme to register and sell stock in blank cheque companies disguised as promising ...

Prasit Srisuwan is the first ever executive to challenge a penalty given by the country’s financial regulator.

The Japanese securities watchdog has recommended that Credit Suisse receives punishment for leaking information.

Stroud Capital Management, TS Capital Partners, and TS Capital Management defrauded at least 17 investors.

Mark E. Rice and his company Financial Robotics get another fine, however chances are slim that these hefty fines ...

The CFTC found that for at least three years from October 2010 to October 2013, Zulutrade opened approximately 400 ...

The order settles charges against Global Futures & Forex, Ltd. (GFT) over a failure to comply with minimum financial ...

RP Martin Holdings Limited, and subsidiary Martin Brokers (UK) Ltd were fined a total $2.2M, of which $1.2M was ...

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