Regulatory Sanctions

esma (European Securities and Markets Authority)

ESMA imposed a fine for EMIR Data breaches

13/07/2021(0)
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has fined DTCC Derivatives Repository Plc (DDRL) a total of €408,000 for seven infringements of the European ... Read More
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CySEC imposed an administrative fine to a Cyprus Investment Firm

16/06/2021(0)
The Cyprus Securities Exchange Commission (CySEC) has issued an announcement to inform that has decided to impose an administrative fine to a Cyprus Investment Firm (CIF). According with the ... Read More
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SEC charges Ripple and two executives

30/12/2020(0)
The Securities and Exchange Commission announced that it has filed an action against Ripple Labs Inc. and two of its executives, who are also significant security holders, alleging that ... Read More
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Interdealer broker to pay $7 Million

22/12/2020(0)
The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of New York entered a consent order against defendants TFS-ICAP LLC and TFS-ICAP Ltd., interdealer ... Read More
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Cyprus Investment Firm fined; The reason?

16/11/2020(0)
The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) has issued an announcement to inform for the imposition of an administrative fine to a Cyprus Investment Firm ... Read More
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$1.2 Million penalty imposed in Forex trading scheme

20/10/2020(0)
The Commodity Futures Trading Commission (CFTC) has issued an announcement to inform that the U.S. District Court for the Eastern District of Pennsylvania entered an order of default judgment ... Read More
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J.P. Morgan Securities admits to manipulative trading in U.S. Treasuries

30/09/2020(0)
The Securities and Exchange Commission announced charges against J.P. Morgan Securities LLC, a broker-dealer subsidiary of JPMorgan Chase & Co., for fraudulently engaging in manipulative trading of U.S. Treasury ... Read More
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Introducing brokers to pay civil monetary penalty

28/09/2020(0)
The Commodity Futures Trading Commission (CFTC) issued orders filing and settling charges against three registered introducing brokers (IB)—EOX Holdings LLC of Houston, Texas; Futures International LLC of Chicago, Illinois; and OTC ... Read More
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Civil enforcement action filing in $4.75 Million Forex Ponzi Scheme

23/09/2020(0)
The Commodity Futures Trading Commission (CFTC) announced the filing of a civil enforcement action in the United States District Court for the Middle District of Florida against 10 defendants ... Read More
FCA_regulator

FCA publicly censures former Worldspreads CEO for market misconduct

14/09/2020(0)
The Financial Conduct Authority (FCA) published a Final Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, publicly censuring him for market abuse and banning ... Read More
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