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fines

Standard & Poor's logo

Italy court acquits S&P in credit rating case

31/03/2017(0)
A judge for the criminal division of the Tribunal of Trani on Thursday acquitted Standard & Poor (S&P) officials over market manipulation charges. The credit rating agency was accused of ... Read More
Merrill Lynch building is shown in downtown San Diego, California

SFC fined in total $15 million Merrill Lynch Far East and Merrill Lynch (Asia Pacific)

27/03/2017(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) over internal control failures. Under the ... Read More
pcaob

Former lead partner of PwC Brazil fined for Audit failures

22/03/2017(0)
The Public Company Accounting Oversight Board (PCAOB) today announced sanctions against a former partner of PricewaterhouseCoopers Auditores Independentes in Brazil for audit failures and violations of PCAOB rules and ... Read More
SFC-logo-office

SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million

16/03/2017(0)
The Securities and Futures Commission (SFC) has reprimanded DBS Vickers (Hong Kong) Limited (DBSVHK) and fined it $2 million for regulatory breaches and internal control failings relating to under-segregation ... Read More
Diamonds

Payday lenders fined $730,000 for diamond trading ‘sham’

10/03/2017(0)
Following ASIC action, the Federal Court has today fined payday lenders Fast Access Finance Pty Ltd, Fast Access Finance (Beenleigh) Pty Ltd and Fast Access Finance (Burleigh Heads) Pty ... Read More
SFC-logo-office

SFC Hong Kong fined $3 million a security brokerage company

06/03/2017(0)
The Securities and Futures Commission (SFC) has reprimanded Guangdong Securities Limited (GSL), now known as Sinolink Securities (Hong Kong) Company Limited (Sinolink), and fined it $3 million for failures ... Read More
Takata

Air bag manufacturer pleads guilty to fraud; To pay billions in fines

02/03/2017(0)
Japanese automobile parts manufacturer Takata pleaded guilty on Monday to wire fraud arising out of air bag defects that killed 16 people. Takata was sentenced to pay $1 billion ... Read More
bank-fines

COMCO fines banks for participating in the EURIBOR cartel

21/12/2016(0)
The Competition Commission (COMCO) has closed its investigation against certain banks related to interest rate derivatives in euro with an amicable settlement and imposes total fines of approximately CHF ... Read More
Deutsche Bank logo

FINRA Fines Deutsche Bank $3.25 Million

19/12/2016(0)
FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning the Operation of Its Alternative Trading System The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
citigroup

Forex manipulation allegation currency trader settled the case

12/12/2016(0)
A Citigroup Inc. currency trader in Tokyo who sued the U.S. bank after it fired him for allegedly trying to manipulate foreign-exchange rates has settled the case. The wrongful-dismissal ... Read More
Broker Cyprus TopFX