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penalty

cftc-logo

CFTC orders Futures Commission Merchant and its controller to pay a $150,000 Penalty

10/05/2016(0)
Cunningham also Penalized for its Failure to Immediately Report a Customer Residual Account Deficiency and for its Failure to Report Special Account Positions Held by Large Traders The U.S. ... Read More
Logos of Deutsche Bank AG are seen in Tokyo

Deutsche Bank AG pays $20,000 infringement notice penalty

13/04/2016(0)
Deutsche Bank Aktiengesellschaft (“Deutsche Bank AG”) has paid a penalty of $20,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The penalty was for ... Read More
SEC

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

13/01/2015(0)
The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 ... Read More
ASIC_regulator

ASIC: lender pays $30,600 penalty for misleading online advertisements

02/04/2014(0)
Australian Securities and Investments Commission (ASIC), has announced that “Paid International Ltd”, formerly known as First Stop Money Ltd, has paid $30,600 in penalties after ASIC issued three infringement ... Read More
Broker Cyprus TopFX