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Regulatory Sanctions

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SFC issues restriction notices to three brokers to freeze client accounts linked to suspected market manipulation

31/08/2017(0)
The Securities and Futures Commission (SFC) has issued restriction notices to Caitong International Securities Co., Ltd, Pacific Foundation Securities Limited and Yuanta Securities (Hong Kong) Company Limited (the brokers), ... Read More
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ECB fined Irish bank for a total of €2.5m

29/08/2017(0)
The ECB has fined Irish bank PTSB €2.5m for breaking liquidity rules, its first such penalty The European Central Bank (ECB) has issued its first penalty against a bank ... Read More
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Investment adviser charged with defrauding professional athlete and his wife

23/08/2017(0)
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the ... Read More
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Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

22/08/2017(0)
The Securities and Exchange Commission announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed ... Read More
ASIC_regulator

ASIC permanently bans jailed company director from credit and financial services industries

22/08/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued today a press release to inform that Mr Gavin Keith Hyland has been permanently banned from engaging in credit activities or ... Read More
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Individuals and their companies ordered to pay millions in restitution for defrauding investors

21/08/2017(0)
Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds ... Read More
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Stock manipulator has agreed to pay nearly $800,000

03/08/2017(0)
The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be permanently barred from involvement in penny stocks after hiding ... Read More
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Trader ordered to pay hundreds of thousands dollars in “spoofing” incidents

02/08/2017(0)
CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec fined an executive director of a Cyprus Investment Firm

31/07/2017(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at its meeting held on 26 June 2017, decided to ... Read More
ASIC_regulator

Australian financial services provider pays penalties

25/07/2017(0)
Financial Choice Pty Ltd (Financial Choice), an Australian financial services provider, has paid two ASIC infringement notice penalties totalling $21,600, after making misleading representations in marketing emails sent to ... Read More
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