Regulatory Sanctions

Standard Bank to Pay $4.2 Million to Settle SEC Charges

01/12/2015(0)

Bank Agrees to $36.9 Million Global Settlement with the SEC and the U.K.’s Serious Fraud Office The Securities and Exchange Commission today charged Standard Bank Plc with failing to ... Read More

CySec announced Imposition of Fines on 4 Cyprus Investment Firms

27/11/2015(0)

The Cyprus Securities Exchange Commission (CySec) has issued an announcement to inform about its decision for Imposition of Administartive Fines on four Cyprus Investment Firms. According to CySec, the ... Read More

FCA fines Barclays £72 million. Barclays announces settlement

26/11/2015(0)

FCA fines Barclays £72 million for poor handling of financial crime risks Barclays announces settlement with the FCA The Financial Conduct Authority (FCA) has today fined Barclays Bank (Barclays) ... Read More

Former Goldman Employee Charged With Insider Trading Before Mergers

26/11/2015(0)

The Securities and Exchange Commission announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic information in the firm’s e-mail system so he could trade ... Read More

CySec announced imposition of an administrative fine and reprimand for the Directors of Pulp International Business Ltd

24/11/2015(0)

The Cyprus Securities and Exchange Commission (CySec) issued an announcement to inform public regarding its decision to impose an administrative fine / reprimand to the Directors of Pulp International ... Read More

FCA fines and bans former Investment Analyst at Aviva Investors

19/11/2015(0)

The Financial Conduct Authority (FCA) has today fined Mothahir Miah, a former Investment Analyst at Aviva Investors Global Services Limited (Aviva Investors), £139,000 and banned him from performing any ... Read More

ASIC has obtained orders freezing investment companies assets

18/11/2015(0)

ASIC has obtained orders in the Federal Court of Australia at Melbourne yesterday freezing the assets of CME Capital Australia Pty Ltd, Boston Pacific Capital Australia Pty Ltd and ... Read More

FINRA fines Scottrade $2.6 Million

17/11/2015(0)

FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 ... Read More

CFTC charges IB Capital FX and agents for Forex Trading case

17/11/2015(0)

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and ... Read More

SFC on Investors fraud: Maxim Trader site suspended and $23.5 million assets of Maxim Capital Limited freezed

12/11/2015(0)

The Court of First Instance has granted various interim orders against Maxim Capital Limited (Maxim Capital), an unlicensed investment firm, including freezing all its monies in Hong Kong totalling ... Read More

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Regulatory Sanctions

Standard Bank to Pay $4.2 Million to Settle SEC Charges

CySec announced Imposition of Fines on 4 Cyprus Investment Firms

FCA fines Barclays £72 million. Barclays announces settlement

Former Goldman Employee Charged With Insider Trading Before Mergers

CySec announced imposition of an administrative fine and reprimand for the Directors of Pulp International Business Ltd

FCA fines and bans former Investment Analyst at Aviva Investors

ASIC has obtained orders freezing investment companies assets

FINRA fines Scottrade $2.6 Million

CFTC charges IB Capital FX and agents for Forex Trading case

SFC on Investors fraud: Maxim Trader site suspended and $23.5 million assets of Maxim Capital Limited freezed

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Top benefits of self-paced online learning

ESMA presents methodology for climate risk stress testing and analysis of the financial impact of greenwashing controversies

Global crypto user base surpassed half a billion in 2023 — Crypto.com report

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