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Regulatory Sanctions

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The Netherlands Financial Markets Regulator Fines International Card Services

16/06/2017(0)
The Netherlands Authority for the Financial Markets (AFM) announced that it is fining International Card Services (ICS), a wholly-owned subsidiary of ABN AMRO, for excessive credit limits. In March ... Read More
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UBS Securities pays penalties

15/06/2017(0)
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the ... Read More
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NAAM and its owner to pay more than $1.6 million in illegal precious metals transactions

14/06/2017(0)
Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging ... Read More
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Forex provider restricted to carry on all activities for which it is licensed

13/06/2017(0)
The Securities and Futures Commission (SFC) today issued a Restriction Notice on IDS Forex HK Limited prohibiting the firm from carrying on all activities for which it is licensed, ... Read More
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Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

09/06/2017(0)
Citigroup Global Markets Australia Pty Ltd (‘Citigroup’) has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘MDP’). The ... Read More
CySEC

CySec has imposed fines in a collective sum of €405,000 on a number of directors and relevant persons of CommexFX

08/06/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today a press release to inform about its decision to impose a series of financial penalties on a number of ... Read More
ASIC_regulator

Former financial planner of Westpac banned for five year

08/06/2017(0)
ASIC has banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was an employed representative of Westpac ... Read More
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ASIC Cancels the Financial Services License of a Firm

07/06/2017(0)
ASIC has cancelled the Australian financial services (AFS) licence of Sydney based company Investment Advisers Alliance Pty Limited (AFS 237902) for failing to lodge its financial statements and auditor’s ... Read More
Anti Money Laundering

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

06/06/2017(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that the Commission charges a Salt Lake City-based brokerage firm with securities law violations related to its alleged ... Read More
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CFTC charged Tallinex with Fraud and Failure to Register as a Retail Forex Dealer

06/06/2017(0)
CFTC Charges Estonian Company Tallinex with Fraud and Failure to Register as a Retail Foreign Exchange Dealer and Nevada Company General Trader Fulfillment with Failure to Register as an ... Read More
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