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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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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
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
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
Regulation
CFTC Imposes $800K Fine on Investment Firm for Fraudulent Commodity Pool Activity
David Zier made false representations to clients in connection with a commodity pool he operated.
Tuesday, 20/12/2016 | 07:33 GMT
by
Finance Magnates Staff
Regulation
ASIC Charges GAIN Capital Employee for Dishonestly Using his Position
The charges relate to orders placed by Shun Yuen Ken Li with the intention of gaining an advantage for clients.
Thursday, 15/12/2016 | 10:10 GMT
by
Finance Magnates Staff
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Regulation
Singapore’s MAS Bans Former Goldman Sachs Banker Amid 1MDB Scandal
Tim Reissner is being punished by the Singapore authorities for breaches relating to his dealings with 1MDB.
Friday, 02/12/2016 | 07:30 GMT
by
Finance Magnates Staff
Regulation
SEC Charges Blank Cheque Company Manufacturer With Fraud
Sheldon Rose was part of a scheme to register and sell stock in blank cheque companies disguised as promising startups.
Thursday, 22/09/2016 | 08:11 GMT
by
Finance Magnates Staff
Regulation
Thai SEC Executive Penalty Challenged by Brokerage Chief
Prasit Srisuwan is the first ever executive to challenge a penalty given by the country’s financial regulator.
Wednesday, 14/09/2016 | 19:00 GMT
by
Finance Magnates Staff
Regulation
Credit Suisse Facing Penalty For Leaking Company Information
The Japanese securities watchdog has recommended that Credit Suisse receives punishment for leaking information.
Friday, 15/04/2016 | 12:31 GMT
by
Finance Magnates Staff
Regulation
U.S. Forex and Commodities Trader Faces Over $4.7m Penalty for Fraud
Stroud Capital Management, TS Capital Partners, and TS Capital Management defrauded at least 17 investors.
Tuesday, 22/03/2016 | 21:11 GMT
by
Finance Magnates Staff
Analysis
Financial Robotics Ordered by CFTC to Pay $3 Mln for 'Risk Free' Forex Fraud
Mark E. Rice and his company Financial Robotics get another fine, however chances are slim that these hefty fines will be ever paid back since Mr Rice has already to pay $1.5 million from a January 2014 order.
Friday, 24/10/2014 | 16:25 GMT
by
Victor Golovtchenko
Analysis
ZuluTrade Fined $350,000 for Opening Accounts for Individuals from US Sanctioned Countries
The CFTC found that for at least three years from October 2010 to October 2013, Zulutrade opened approximately 400 accounts for account holders from OFAC targeted countries (primarily Iran, Sudan, and Syria).
Tuesday, 09/09/2014 | 20:02 GMT
by
Avi Mizrahi
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Regulation
Global Futures & Forex Ltd (GFT) to Pay $200K Fine by CFTC to Settle Capital Violation Charges
The order settles charges against Global Futures & Forex, Ltd. (GFT) over a failure to comply with minimum financial requirements that occurred between December 2010 and November 2012, prior to the GCAP acquisition.
Monday, 19/05/2014 | 18:05 GMT
by
Steven Hatzakis
Regulation
RP Martin Fined by CFTC and FCA, over Yen Libor Manipulation, Totaling $2.2M in Penalties
RP Martin Holdings Limited, and subsidiary Martin Brokers (UK) Ltd were fined a total $2.2M, of which $1.2M was announced by the CFTC today, and the other $1M equivalent (£630K) by the FCA today over Yen LIBOR case.
Thursday, 15/05/2014 | 14:09 GMT
by
Steven Hatzakis
Regulation
CySEC Fines AFX Capital Markets Ltd €10,000 on a Number of Violations
The company operating the AFX Capital brand, based in Cyprus, and with multiple entities regulated in several jurisdictions, got fined a total of ten thousand Euros today, by the Cyprus Securities & Exchange Commission.
Wednesday, 14/05/2014 | 14:44 GMT
by
Victor Golovtchenko
Analysis
Taiwanese Regulator to Punish Four Banks for Selling Complex FX Derivatives
After the recent drop in the Yuan exchange rate, the Financial Supervisory Commission of the Republic of China announced it will penalise four banks including SinoPac Financial for not warning of FX risks.
Wednesday, 30/04/2014 | 10:49 GMT
by
Avi Mizrahi
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