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Institutional FX

SEC Fines Bloomberg $5M over Disclosure Failure on Fixed Income Prices

The alleged violation occurred between at least 2016 and October 2022.
The SEC said Bloomberg agreed to settle without admitting or denying its findings.

Monday, 23/01/2023 | 21:34 GMT by Solomon Oladipupo

Institutional FX

FINRA Fines Nomura Securites $125k for Miscalculating Its Net Capital

Nomura allegedly misclassified reverse repos with affiliate NSC as allowable assets.
FINRA has recently penalized Wells Fargo, Instinet and DBOT for various violations.

Monday, 16/01/2023 | 17:50 GMT by Solomon Oladipupo

Retail FX

CySEC Reaches New €100k Settlement with BCM Begin Capital Markets

BCM Begin paid a €170k settlement to CySEC over six months ago.
Both settlements are for possible violations of the same rules.

Friday, 16/12/2022 | 16:40 GMT by Solomon Oladipupo

Retail FX

CySEC Fines General Capital Brokers €120k for Possible License Offense

The settlement covers possible lapses between November 2020 and October 2021.
CySEC reached a €100k agreement with ICC Intercertus Capital in August.

Friday, 14/10/2022 | 16:05 GMT by Solomon Oladipupo

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