Regulatory Sanctions

fined

ESMA fines trade repository €238,500 for EMIR data failures

29/09/2021(0)
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has fined trade repository UnaVista Limited €238,500 for eight breaches of the European Market Infrastructure Regulation (EMIR). ... Read More
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Cyprus Investment Firm fined for non compliance with an Article of the Market Abuse Regulation

16/08/2021(0)
The Cyprus Securities and Exchange Commission (the ‘CySEC’) has issued an announcement to inform that has decided to impose an administrative fine to a Cyprus Investment Firm (CIF). In ... Read More
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CySEC suspends partially the license of a Cyprus Investment Firm

04/08/2021(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that the authorisation of the Cyprus Investment Firm Indication Investments Ltd (‘the Company’), number 164/12, is suspended partially, pursuant to section ... Read More
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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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