Tag: fine
Cryptocurrency Exchange OKX Fined $1.2 Million by Malta Financial Intelligence Analysis...
Cryptocurrency Exchange OKX Fined $1.2 Million by Malta Financial Intelligence Analysis Unit for Money Laundering Failures, United States Fined Cryptocurrency Exchange OKX $504 Million...
Singapore MAS 2025 Q1 Enforcement Actions: 1) Individual (Mitsui & Co...
Singapore MAS 2025 Q1 Enforcement Actions: 1) Individual (Mitsui & Co Subsidiary Regency Steel Asia Chairman) Gui Boon Sui Fined $254,000 for Using Non-Authorised...
Germany $1 Trillion Asset Manager DWS Appoints 11-Year Veteran Sharon Tan...
Germany $1 Trillion Asset Manager DWS Appoints 11-Year Veteran Sharon Tan as Country Officer & CEO Singapore and to Continue Existing Roles as APAC...
Germany $1 Trillion Asset Manager DWS Fined $27 Million for Greenwashing...
Germany $1 Trillion Asset Manager DWS Fined $27 Million for Greenwashing with Misleading Statements on ESG by Germany Prosecutors, Claimed Being Leader in ESG...
Switzerland & Singapore-Based French Commodities Giant Trafigura Group Mongolia Boss Jononbayar...
Switzerland & Singapore-Based French Commodities Giant Trafigura Group Mongolia Boss Jononbayar Erdenesuren Loaned $500 Million to Trafigura Group Mongolia Principal Counterparty Lex Oil Owned...
Big 4 Audit Firm PwC Hong Kong & China Delays Equity...
Big 4 Audit Firm PwC Hong Kong & China Delays Equity Payout to Retiring PwC Partners, China Regulators Issued PwC China 6-Month Ban &...
Hong Kong SFC Fines Enlighten Securities $643,000 for Failures in Securities...
Hong Kong SFC Fines Enlighten Securities $643,000 for Failures in Securities Margin Financing & 7-Month Suspension for Senior Management & Responsible Officer Denny Kua...
Switzerland Finance Ministry Fines ex-Credit Suisse Chief Compliance Officer Lara Warner...
Switzerland Finance Ministry Fines ex-Credit Suisse Chief Compliance Officer Lara Warner $113,000 (CHF 100,000) for Failure to Notify Authorities of $8.9 Million (CHF 7.9...
UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law)...
UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law) by Elliott Associates Against London Metal Exchange for $12 Billion of Cancelled Nickel...
UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure...
UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure to Ensure Orderly Trading in Severe Market Stress in 2022 March with LME...
