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conflicts of interest

FXCM-logo

FXCM and its founding partners ordered to pay a $7 Million Penalty

07/02/2017(0)
CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for ... Read More
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SFC reprimands and fines Morgan Stanley

25/08/2016(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Morgan Stanley Hong Kong Securities Limited (MSHK) over its internal control failures. Under the resolution, the SFC reprimanded ... Read More
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FCA publishes thematic review into dark pools

22/07/2016(0)
Firms operating dark pools have made significant progress in addressing the promotion and the management of conflicts of interest according to a new report from the Financial Conduct Authority ... Read More
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ASIC targets mid-tier brokers on how they are managing conflicts of interest

02/06/2016(0)
The financial regulator is worried about how mid-tier research and broking firms are managing conflicts of interest. Australian Securities and Investments Commission chairman Greg Medcraft has told a large gathering ... Read More
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EY conflicts of interest issues could affect Royal Dutch Shell-BG Group deal

04/05/2016(0)
Conflicts of interest and issues around auditor independence could affect the proposed acquisition of BG Group by Royal Dutch Shell, Manifest has suggested. Analysis by proxy voting agency Manifest ahead ... Read More
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Deloitte scales back real estate business to avoid audit conflicts of interest

21/04/2016(0)
CONFLICTS between Deloitte’s real estate arm and its auditing division has seen the Big Four firm divest the transactional side of its property offering after a review lasting more than ... Read More
JPMorgan

J.P. Morgan to Pay $267 Million for Disclosure Failures

21/12/2015(0)
The Securities and Exchange Commission announced that two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million and admit wrongdoing to settle charges that they failed to disclose ... Read More
Broker Cyprus TopFX