Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

fines

ASIC_regulator

Court fines Sino Australia Oil and Gas Limited and disqualifies former chairman, Tianpeng Shao

09/12/2016(0)
The Federal Court of Australia has ordered that Sino Australia Oil and Gas Limited (in liquidation) (Sino) pay a pecuniary penalty of $800,000 and its former chairman, Mr Tianpeng ... Read More
European Commission

Three major Banks fined €485 million for Euribor fix cartel

07/12/2016(0)
The European Commission has fined Crédit Agricole, HSBC and JPMorgan Chase, a total of € 485 million for participating in a cartel in euro interest rate derivatives. The banks ... Read More
FCA-logo

FCA bans and fines individual for £233,600

01/12/2016(0)
FCA publishes decision notice against Alistair Burns deciding to ban him and fine him £233,600 The Financial Conduct Authority has today published a Decision Notice in respect of Alistair ... Read More
afm-large

AFM fines financial consultancy firm for €2,000 per business day

01/12/2016(0)
On 9 November 2016, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments of €2,000 per business day on Alfred Sturz, trading under ... Read More
SFC - Hong Kong

SFC bans individual for one year and fines him $150,000

21/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Benedict Ku Ka Tat, a former employee of The Pride Fund Management Limited, from re-entering the industry for one year ... Read More
SFC-logo-office

SFC reprimands and fines FXCM Asia Limited HK$4 million

19/10/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined FXCM Asia Limited (HK FXCM) (now known as Rakuten Securities Hong Kong Limited) HK$4 million for regulatory breaches in ... Read More
finra1

FINRA Fines Merrill Lynch $2.8 Million

19/10/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System ... Read More
Wells_Fargo-624x414

Wells Fargo Chairman and CEO is stepping down following fake accounts scandal

13/10/2016(0)
Embattled Wells Fargo Chairman and CEO John Stumpf is stepping down from the bank he has led for nearly a decade, following intense scrutiny over a fake accounts scandal ... Read More
FCA-logo

FCA fines Sonali Bank for serious anti-money laundering systems failings

12/10/2016(0)
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. ... Read More
eu-stop-googles-anti-competitive-practices

Google could face large fine by EU over Android anti-competitive practices

03/10/2016(0)
EU wants to stop Google forcing smartphone manufacturers to pre-install Android OS. Google might face a “large fine” for anti-competitive practices by the European Union, which is considering stopping ... Read More
Broker Cyprus TopFX