investigation

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
Securities Exchange Commission

JPMorgan Chase Paying $264 Million to Settle FCPA Charges

18/11/2016(0)
The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million to settle SEC charges that it won business from ... Read More
audi

VW, Audi Confirm Investigation Into Carbon Dioxide Levels in Some Audi Cars

14/11/2016(0)
Volkswagen AG and its Audi AG luxury unit on Saturday confirmed that U.S. and European investigators are looking into fresh irregularities related to carbon dioxide emissions levels in certain Audi automatic-transmission vehicles. Volkswagen said ... Read More
SFC-logo-office

SFC bans Individual for 10 years

02/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay Hian Futures (Hong Kong) Limited ... Read More
BT Italia

BT takes £145m accounting errors hit

31/10/2016(0)
BT has revealed it has taken a £145m hit following the discovery of historical accounting errors and inappropriate management behaviour at its Italian division. Its second quarter results to ... Read More
Online gambling business

Online gambling firms under investigation over fears for unfair customers terms and conditions

21/10/2016(0)
This follows concerns raised by the Gambling Commission about potential breaches of consumer law, including misleading promotions and unfair terms, being used by firms to block players’ payouts. The ... 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
deutsche bank

SEC: Deutsche Bank to pay a $9.5 million penalty

13/10/2016(0)
The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic information generated by ... Read More
Securities Exchange Commission

Credit Suisse Paying $90 Million to settle charges

06/10/2016(0)
The Securities and Exchange Commission today announced that Credit Suisse AG has agreed to pay a $90 million penalty and admit wrongdoing to settle charges that it misrepresented how ... Read More
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