Tag: fine
UK Competition & Markets Authority (CMA) Fines 4 Banks Citi, HSBC,...
UK Competition & Markets Authority (CMA) Fines 4 Banks Citi, HSBC, Morgan Stanley & Royal Bank of Canada (RBC) $132 Million for Anti-Competitive Conduct...
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures...
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures Against Financial Crime Relating to Cum-Ex Trading (Withholding Tax Claims), Received £1.45 Million...
United States SEC Fines One Oak Capital Management & ex-Advisor Michael...
United States SEC Fines One Oak Capital Management & ex-Advisor Michael DeRosa $225,000 for Advisory Misconduct, Converted 180 Brokerage Accounts to Advisory Accounts with...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls with Barclays Cooperating with Investigation, UK FCA Fined Barclays $50 Million in 2024...
Spain Securities Regulator Fines Deutsche Bank $10.3 Million for Breaches in...
Spain Securities Regulator Fines Deutsche Bank $10.3 Million for Breaches in Sale of Foreign Exchange Derivatives & Duty of Acting in Best Interest of...
UK-Sweden $223 Billion Pharmaceutical Giant AstraZeneca Faces $4.5 Million Fine in...
UK-Sweden $223 Billion Pharmaceutical Giant AstraZeneca Faces $4.5 Million Fine in China for $900,000 of Drug Import Tax Evasion, Fine of 1x to 5x...
Hong Kong $3 Billion Hedge Fund ARCM (Asia Research & Capital...
Hong Kong $3 Billion Hedge Fund ARCM (Asia Research & Capital Management) to Convert to Family Office, Founded in 2011 by Alp Ercil, ARCM...
United States $133 Billion Operations & Manufacturing Giant Honeywell to Split...
United States $133 Billion Operations & Manufacturing Giant Honeywell to Split into 3 Companies Honeywell Automation, Honeywell Aerospace & Advanced Materials by 2026 2nd...
United States CFTC Orders 3 Individuals (2 Brazil & 1 United...
United States CFTC Orders 3 Individuals (2 Brazil & 1 United States) to Pay $128 Million in Fines & Disgorgements (Give Up) for Futures...
Switzerland Court Convicts Switzerland & Singapore-Based French Commodities Giant Trafigura Group...
Switzerland Court Convicts Switzerland & Singapore-Based French Commodities Giant Trafigura Group & ex-COO Mike Wainwright of Corruption Including $5 Million Bribe to Angola Official...
