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fine

Ulster Bank

Central Bank of Ireland imposes fine of €3,500,000 in respect of IT governance failures by Ulster Bank Ireland Limited

13/11/2014(0)
The Central Bank of Ireland (the “Central Bank”) has fined Ulster Bank Ireland Limited (the “Firm”) €3,500,000 and reprimanded it in relation to IT and governance failings by the ... Read More
SFC-logo-office

SFC reprimands and fines ICBC International Capital Limited and ICBC International Securities Limited

21/05/2014(0)
The Securities and Futures Commission (SFC) has reprimanded ICBC International Capital Limited (ICBCI Capital) and ICBC International Securities Limited (ICBCI Securities) (collectively ICBCI) and fined them $12.5 million respectively ... Read More
paribas

BNP Falls as U.S. Probe Said to Cost More Than $5 Billion

21/05/2014(0)
BNP Paribas SA (BNP), France’s largest bank, fell to a seven-month low in Paris on concern U.S. authorities will seek more than $5 billion from the lender to settle ... Read More
New-York

SEC Fines NYSE for rule violations

02/05/2014(0)
The New York Stock Exchange’s $4.5 million penalty for oversight violations represents the Securities and Exchange Commission’s first salvo since Michael Lewis reignited scrutiny of market structure. NYSE, which ... Read More
SFC-logo-office

SFC reprimands and fines The Royal Bank of Scotland PLC $6 million for internal control failings

22/04/2014(0)
The Securities and Futures Commission (SFC) of Hong Kong, has issued a reprimand to The Royal Bank of Scotland Public Limited Company (RBS) and fined it $6 million for ... Read More
FCA_regulator

Santander UK fined for widespread investment advice failings

26/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has fined Santander UK Plc the amount of £12,377,800 after the regulator uncovered serious failings in the way it offered ... Read More
Cyprus Securities and exchange commission (cysec)

CySec fines Dragon Capital Ltd

26/03/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has issued an announcement giving the Dragon Capital (Cyprus) Ltd company the administrative fine of €12.000. CySec highlights that the ... Read More
FCA_regulator

FCA bans and fines trader for manipulating gilt price during QE

20/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority has announced that Mark Stevenson, a bond trader with nearly 30 years’ experience, has been banned from the industry and ... Read More
FCA_regulator

FCA fined Besso Limited

19/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls ... Read More
onestopbrokers-Regulators

CySec: Administrative fines

19/03/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has issued an announcement giving the following firms the administrative fines as follows: SAFS Holdings Public Ltd ... Read More
Broker Cyprus TopFX