investigation

FCA_regulator

Barclays fined £26m by FCA

23/05/2014(0)
The Financial Conduct Authority (FCA), the Bitish regulatory body, has fined Barclays Bank Plc (Barclays) £26,033,500 for failing to adequately manage conflicts of interest between itself and its customers ... Read More
tokyo

SEC Charges Private Fund Manager

22/05/2014(0)
The Securities and Exchange Commission has charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme that ensued after he squandered their money on bad ... Read More
Logitech_logo

Logitech says audit committee investigating accounting matters

22/05/2014(0)
Logitech International SA said its audit committee is conducting an investigation into some of its accounting matters related to its earlier-stated results and the company may revise its fiscal ... Read More
jpmorganchina

JPMorgan’s Problem of “Sons and Daughters” program is widely practice

22/05/2014(0)
The long investigation of JPMorgan’s hiring practices in China has reached a milestone: A Hong Kong anti-corruption organization has formally arrested Fang Fang, the bank’s former vice president of ... 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
ASIC_regulator

ASIC bans former Sydney trader

20/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has banned Jeremy Kaviraj Nambiar, of St Ives, New South Wales, from providing financial services for eight years after an ASIC investigation ... Read More
SEC-Insider-Trading

SEC’s Insider-Trading Case Against Obus Revived on Appeal

20/05/2014(0)
Wynnefield Capital Inc.’s Nelson Obus traded on confidential information to make $1.3 million for his hedge fund and confessed to it twice, a lawyer for the U.S. Securities and ... Read More
asic

Former Perth director jailed for providing false and misleading information

16/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has issued the following press release: Mr David Alan Zohar, a former director of Aluminex Resources Limited, was sentenced today to 14 ... Read More
U.S. Congress in Washingto

SEC Charges Unregistered Securities Salesman

16/05/2014(0)
The U.S. Securities and Exchange Commission has charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a ... Read More
SFC-logo-office

Futures manipulator sentenced to community service

14/05/2014(0)
The Securities and Futures Commission (SFC) has issued a press release informing as follows: The Eastern Magistrates’ Court today sentenced a futures trader, Mr Ernest Fan Kwong Hung, to ... Read More
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