Regulatory Sanctions

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Barclays to pay $800,000 fine for U.S. data reporting errors

17/07/2015(0)
Wall Street’s self-funded watchdog fined a unit of Barclays PLC (BARC.L) $800,000 (512,377 pounds) for violations related to how the bank reported stock trades over a more than two-year ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announces the suspension of the authorisation of CIF ‘1 T.C.R CORP. LTD’

16/07/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘1 T.C.R CORP. LTD’, number 237/14, is ... Read More
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SEC: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”

15/07/2015(0)
The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers’ books and records and in ... Read More
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BCSC panel fines and permanently bans North Vancouver man and two U.S. citizens for market manipulation

14/07/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined Mark Aaron McLeary, Robert Hainey, and Jerry Williams for engaging in market manipulation of shares in a company quoted on ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announces the suspension of the authorisation of CIF ‘Asset Management Advisory Services (AMASS) Ltd’

10/07/2015(3)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘Asset Management Advisory Services (AMASS) Ltd’, number 167/12, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Withdraw of CIF authorisation

10/07/2015(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has issued an announcement informing that: On its meeting of 6 July 2015, has decided, pursuant, of ... Read More
Cyprus Securities and exchange commission (cysec)

CySec imposes administrative fine of €15.000 to a CIF

08/07/2015(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) has notified the public that has imposed an administrative fine of €15.000 to CIF Fidelisco Capital Markets Ltd for violating sections of the ... Read More
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China Bans Stock Sales by Major Shareholders for Six Months

08/07/2015(0)
China’s securities regulator banned major shareholders, corporate executives and directors from selling stakes in listed companies for six months, its latest effort to stop the nation’s $3.5 trillion stock-market ... Read More
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FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million

07/07/2015(0)
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds The Financial Industry ... Read More
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SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors

07/07/2015(0)
The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted ... Read More
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