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investigation

OneCoin

OneCoin official response to the recent statement of the Financial Conduct Authority

29/09/2016(0)
OneCoin is disappointed that the FCA has issued a statement without having first contacted the company. OneCoin has not been contacted by the City of London Police. No allegations ... Read More
ASIC_regulator

ASIC permanently bans former Deutsche Bank FX trader

29/09/2016(0)
ASIC has permanently banned former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Sydney, from providing financial services. The banning follows an ASIC investigation into Mr Donaldson’s ... Read More
Securities Exchange Commission

Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes

27/09/2016(0)
The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $12.5 million penalty for maintaining ineffective trading controls that failed to prevent erroneous orders ... Read More
deutsche-bank

Deutsche Bank AG said it won’t pay the $14 billion sought by the U.S.

16/09/2016(0)
Negotiations are ‘just beginning,’ lender says in statement U.S. shares of biggest German bank tumble in extended trading Deutsche Bank AG said it won’t pay the $14 billion sought ... Read More
HSBC building

SFC reprimands and fines HSBC $2.5 million for regulatory breaches

14/09/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) $2.5 million for regulatory breaches and internal control failings related to ... Read More
Securities Exchange Commission

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

12/09/2016(0)
The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more than $1.6 million to settle charges that it concealed ... Read More
Securities Exchange Commission

Two investment firms charged with compliance failures

09/09/2016(0)
The Securities and Exchange Commission announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based ... Read More
banco do brasil

Brazilian Police Launch Investigation Into Alleged Fraud at Pension Funds

06/09/2016(0)
Brazilian police on Monday said they launched an investigation into alleged fraud of as much as 8 billion reais ($2.5 billion) at the country’s four largest pension funds, all ... Read More
SFC-logo-office

SFC reprimands and fines BNP Paribas Wealth Management $4 million

31/08/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Wealth Management (BNPPWM) $4 million for overcharging its clients between 1 January 2011 and 31 December 2013 ... Read More
bloombergphotoapplestorelitup

Apple should repay Ireland €13bn, European Commission rules

30/08/2016(0)
Ireland should recover up to €13bn (£11bn) from Apple in back taxes, the European Commission has ruled. After a three-year investigation, it has concluded that the US firm’s Irish ... Read More
Broker Cyprus TopFX