The Cyprus Securities and Exchange Commission ( CySEC ) has notified the public that at the meeting held on February 16th, 2015, decided to impose an administrative fine of ... Read More
Following its investigation, ASIC has cancelled the Australian financial service licence (AFSL) of LSG Group Pty Ltd , formerly known as NZ Global Financial Trading Pty Ltd, Easy Capital ... Read More
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase ... Read More
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
Blackstone Charged With Disclosure Failures Private Equity Advisers to Pay Nearly $39 Million Settlement The Securities and Exchange Commission announced that three private equity fund advisers within The Blackstone ... Read More
The Australian Securities and Investments Commission (ASIC) has issued today two announcements to inform public that the Commission decided to ban two persons in different cases from providing financial ... Read More
Federal Court Orders Alexander Glytenko and His Company, Direct Investment Products, Inc., to Pay a Monetary Penalty and Restitution Totaling More than $3.8 Million in Connection with Commodity Pool ... Read More
SEC Halts $32 Million Scheme That Promised Riches From Amber Mining The USA regulator, Securities and Exchange Commission (SEC), has issued an announcement to inform that it has filed ... Read More
The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor independence violations that occurred when two Grant Thornton Mauritius ... Read More
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