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fines

Securities Exchange Commission

SEC fined 13 Investment Advisory Firms

26/08/2016(0)
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management ... Read More
FCA-logo

FCA fined Cenkos Securities £530,500 for failures

09/08/2016(0)
The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in ... Read More
Logos of Deutsche Bank AG are seen in Tokyo

FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate Supervision of Internal Communications

09/08/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated ... Read More
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FINRA Fines E*Trade Securities $900,000

03/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution ... Read More
esma (European Securities and Markets Authority)

Esma Fines DTCC Derivatives Repository Limited €64,000 For Data Access Failures

31/03/2016(0)
The European Securities and Markets Authority (ESMA) has fined the trade repository DTCC Derivatives Repository Limited (DDRL) €64,000, and issued a public notice, for negligently failing to put in place systems ... Read More
google-logo-legal

France fines Google for breaking ‘right to be forgotten’ law

28/03/2016(0)
The nation can’t control what people access outside its borders, Google says. Europe’s “right to be forgotten” law is a boon to privacy, helping individuals hide embarrassing Facebook posts ... Read More
nyse euronext

Whistleblower says SEC awarded him $750,000 for Nyse tip

03/03/2016(0)
The founder of market data outfit Nanex says that he has been awarded $750,000 for a whistleblowing tip that resulted in the New York Stock Exchange getting slapped with ... Read More
Cyprus Securities and exchange commission (cysec)

Imposition of an administrative fine to CommexFX Ltd

25/02/2016(0)
The Board of the Cyprus Securities Exchange Commission (‘CySEC’) wishes to inform investors that, at the meeting held on December 14th, 2015, decided to impose an administrative fine of ... Read More
FCA_regulator

FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

09/02/2016(0)
The Financial Conduct Authority (FCA) has today fined Achilles Macris £792,900 for failing to be open and co-operative with the Authority. Mr Macris was Head of CIO International for ... Read More
volkswagen-scandal

VW faces tougher Justice Department while GM and Toyota settled criminal charges without pleading guilty

08/02/2016(0)
Government making `big deal’ of company’s emissions cheating GM, Toyota settled criminal charges without pleading guilty No one has died from the emissions-cheating software Volkswagen AG has admitted it ... Read More
Broker Cyprus TopFX