Regulatory Sanctions


SFC reprimands and fines BNP Paribas Securities (Asia) Limited $11 million

The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Securities (Asia) Limited (BNP) a total of $11 million for its failures to report its direct business ... Read More

FCA fines set to dip below record despite Libor and forex penalties

Last week’s record £284.4m penalty imposed on Barclays for its part in the foreign exchange rate rigging scandal came just weeks after a £226.8m fine on Deutsche Bank The ... Read More

FCA fines Barclays £284,432,000 for forex failings

The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business ... Read More

Warnings: – NTD Invest Corp Ltd

The Commissione Nazionale per le Società e la Borsa reports that: the website cannot be traced to subjects authorised to provide investment services and facilities in Italy. the company NTD ... Read More
Hellenic Capital Market Commission (HCMC)

HCMC imposes fines on foreign investors for naked short selling

Over 1.6 million euros worth of fines were imposed for naked short selling during April and May of 2014 The Hellenic Capital Market Commission (HCMC) announced that it has ... Read More

Supervisory Authorities issued warnings on unauthorised companies

The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA) and Spain (Comision Nacional del Mercado de Valores – CNMV) report companies that are offering investment services ... Read More
DFSA logo

DFSA Fines Deutsche Bank AG for Serious Breaches

The Dubai Financial Services Authority (“DFSA”), announced, that it has fined the DIFC branch of Deutsche Bank AG (“DBDIFC”), USD $8,400,000 (AED 30,849,000) for serious contraventions. Those contraventions include ... Read More
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Warnings: Mrg Markets – YouTrade Holdings Limited

The National Commission for Companies and the Stock Exchange (Commission Nazionale per le Società e la Borsa) reports that the companies Mrg Markets, formerly Service Solutions and YouTrade Holdings Limited are not ... Read More
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