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Institutional FX
CFTC Slams $1.37m Fine on Starberry for Acting as FCM without a Permit
Starberry accepted more than $400 million from a foreign customer.
The corporation is to disgorge the 'unlawful' earnings.
Friday, 24/06/2022 | 20:10 GMT
by
Solomon Oladipupo
Institutional FX
FINRA Fines National Securities Corp $9 Million for Market Violations
The firm is accused of attempting to artificially influence the aftermarket.
It includes a disgorgement of $4.77 million in net profits.
Thursday, 23/06/2022 | 17:23 GMT
by
Felipe Erazo
Institutional FX
Cboe’s BIDS Trading Fined $200K for Overstating Trade Volume
It overstated the advertised trade volumes due to system errors.
It has already accepted the penalty order.
Thursday, 26/05/2022 | 08:50 GMT
by
Arnab Shome
Institutional FX
BNY Mellon Investment Adviser to Pay a $1.5 Million Penalty
The US SEC charged BNY Mellon Investment Adviser on Monday.
The case occurred between July 2018 to September 2021.
Monday, 23/05/2022 | 19:42 GMT
by
Felipe Erazo
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Institutional FX
CME Group Suspends Trader for Violating Rule 575
The trader received 6 months suspension following the findings of the Panel.
The violations took place towards the end of 2020.
Tuesday, 26/04/2022 | 08:38 GMT
by
Matti Williamson
Institutional FX
Westpac Banking Corporation to Pay $1.5 Million Penalty
The Federal Court has imposed a penalty on Westpac for mis-selling consumer credit insurance.
The financial firm issued consumer credit insurance policies to 141 customers who did not request the product.
Thursday, 07/04/2022 | 08:33 GMT
by
Bilal Jafar
Brokers
FINRA Imposes $75,000 Penalty on Crown Capital
The authority fined Crown Capital in violation of FINRA rules 2040 and 2010.
Crown Capital has been a member of FINRA since 1972.
Monday, 14/03/2022 | 12:16 GMT
by
Bilal Jafar
Institutional FX
FCA Imposes £783,800 Penalty on Barclays
The authority has fined Barclays for oversight failings in its relationship with Premier FX.
Barclays was the sole banker of Premier FX in the United Kingdom.
Monday, 28/02/2022 | 11:10 GMT
by
Bilal Jafar
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FinTech
Ex-Credit Suisse Chairman Faces $2,200 Fine for Breaking COVID Rules
The Chairman of Credit Suisse, Antonio Horta-Osorio must pay a $2,200 fine.
The bank executive violated COVID-19 quarantine rules.
Thursday, 03/02/2022 | 07:30 GMT
by
Nicholas Otieno
Institutional FX
Credit Suisse to Defend $45M Penalty Order in Swiss Court
The bank is accused of its failures in anti-money laundering rules.
Antonio Horta-Osorio recently quit as Credit Suisse Chairman in a controversial way.
Monday, 31/01/2022 | 13:38 GMT
by
Arnab Shome
FinTech
CySEC Imposes Administrative Fine of €3,000 on CIF Atlantic Securities Ltd
CySEC has imposed an administrative penalty on Atlantic Securities Ltd.
The regulator has decided to impose a fine of €3,000 on the Cypriot broker.
Tuesday, 25/01/2022 | 07:12 GMT
by
Nicholas Otieno
Institutional FX
NatWest Faces $35M Penalty in US for Treasury Market Manipulation
Traders of the bank placed spoofing orders between January 2008 and May 2014.
The bank pleaded guilty to the allegations.
Wednesday, 22/12/2021 | 07:02 GMT
by
Arnab Shome
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Regulation
FCA Fines Sunrise Brokers £642K for Financial Crime Control Lapses
The broker’s services were exploited by its clients in two incidents.
Friday, 12/11/2021 | 13:01 GMT
by
Arnab Shome
Institutional FX
SEC Ends Investigation against S&P Dow Jones Indices after $9M Settlement
The company allegedly published old index values.
Monday, 17/05/2021 | 16:30 GMT
by
Arnab Shome
Institutional FX
CME Punishes StoneX for Rules Violation
The Group imposed a penalty on StoneX Financial for failing to meet the documentation requirements.
Wednesday, 06/01/2021 | 13:49 GMT
by
Bilal Jafar
Institutional FX
Australian Court Fines NAB $41.87 Million for No Service Fees
Clients were even charged for services that can otherwise be received for free.
Monday, 14/09/2020 | 07:16 GMT
by
Arnab Shome
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Regulation
Societe Generale to Pay €1.2 Billion in Penalties to US Authorities
The bank expects to settle its international sanction violations in the coming weeks.
Monday, 03/09/2018 | 20:46 GMT
by
Celeste Skinner
Institutional FX
Merrill Lynch Fined $42 Million by SEC for Misleading Clients Over Orders
The wealth manager told clients it was executing orders internally when they were really being passed on to other broker-dealers
Wednesday, 20/06/2018 | 07:01 GMT
by
David Kimberley
Regulation
UBS Securities Asia Limited Reprimanded and Fined $4.5 Million by SFC
The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.
Wednesday, 21/03/2018 | 12:30 GMT
by
Finance Magnates Staff
Regulation
Monetary Authority of Singapore Issues Penalties over AML/CFT Breaches
The MAS has penalized Standard Chartered Bank and Standard Chartered Trust, $3.95 million and $0.91 million, respectively.
Monday, 19/03/2018 | 10:21 GMT
by
Finance Magnates Staff
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Regulation
FCA Fines Former Deutsche Bank Trader £180,000, Issues Indefinite Ban
Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA.
Monday, 05/03/2018 | 14:13 GMT
by
Finance Magnates Staff
Brokers
CySEC Imposes Fine on iFOREX Due to Several Violations
The Cypriot regulator continues to clamp down on non-compliant companies.
Tuesday, 20/02/2018 | 13:25 GMT
by
Finance Magnates Staff
Regulation
Deutsche Bank Ordered to Pay $70 Million for Manipulation of USD Swap Rates
The German investment bank reportedly intentionally attempted to alter benchmark levels to benefit its personal positions.
Friday, 02/02/2018 | 08:34 GMT
by
Finance Magnates Staff
Regulation
Report on Global Regulation Shows Sanctions on the Rise in 2017
US regulatory bodies remain the lead enforcers of sanctions pertaining to market conduct violations.
Friday, 12/01/2018 | 13:53 GMT
by
Finance Magnates Staff
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Regulation
ASIC Imposes $40,000 Infringement Notice Penalty on Pershing Securities
Pershing failed to comply with the ASIC’s rules relating to the use of appropriate automated filters for its AOP systems.
Monday, 16/01/2017 | 08:48 GMT
by
Finance Magnates Staff
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