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financial penalties

Monetary-Authority-of-Singapore

Financial Penalties Imposed on Credit Suisse and UOB for 1MDB-Related Transactions

30/05/2017(0)
The Monetary Authority of Singapore (MAS) announced today that it has completed its two-year review of banks involved in 1MDB-related transactions known to-date.  In its latest regulatory actions, MAS ... Read More
fca-building

FCA bans two former spread betting firm employees for market abuse

10/04/2017(0)
  The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March ... Read More
Monetary-Authority-of-Singapore

MAS: Falcon Bank to Cease Operations due to serious failures in AML controls

11/10/2016(0)
The Monetary Authority of Singapore (MAS) announced today that it is withdrawing the merchant bank status of Falcon Private Bank Ltd, Singapore Branch (Falcon Bank) for serious failures in ... Read More
ASIC_regulator

ASIC discontinues proceedings against two former LM directors

21/09/2016(0)
ASIC has discontinued its proceedings against Simon Tickner and Lisa Darcy, former directors of LM Investment Management Ltd (LMIM). In 2014, ASIC commenced civil penalty proceedings in the Federal ... Read More
sec

UK-Based Trader charged for hacked into the online brokerage accounts of numerous investors

23/06/2016(0)
The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online ... Read More
Broker Cyprus TopFX