Tag: fine
Hong Kong SFC Suspends PICC Asset Management ex-Investment Manager Shum Wai...
Hong Kong SFC Suspends PICC Asset Management ex-Investment Manager Shum Wai Nap for 7 Months for Failure to Properly Manage Funds According to Stated...
Germany $593 Billion Asset Manager Allianz Global Investors Launches Mutual Fund...
Germany $593 Billion Asset Manager Allianz Global Investors Launches Mutual Fund Management Subsidiary in Shanghai, Parent is Allianz Which Also Owns Leading Asset Manager...
$21 Billion China Ride-Hailing Giant Didi Global Not Planning for IPO...
$21 Billion China Ride-Hailing Giant Didi Global Not Planning for IPO to List on Hong Kong Exchange in 2024, Rumours of Didi Global IPO...
United States Commodity Futures Trading Commission (CFTC) Fines French Commodities Giant...
United States Commodity Futures Trading Commission (CFTC) Fines French Commodities Giant Trafigura Group $55 Million for Fraud, Manipulation & Impeding Whistleblower Communications with CFTC,...
Sweden Financial Supervisory Authority Fines Nasdaq Stockholm Stock Exchange $9.59 Million...
Sweden Financial Supervisory Authority Fines Nasdaq Stockholm Stock Exchange $9.59 Million for Deficiencies in Trade Monitoring on Insider Trading & Trading in Financial Instruments...
HSBC Private Bank Violated Switzerland Money Laundering Regulations in $300 Million...
HSBC Private Bank Violated Switzerland Money Laundering Regulations in $300 Million Transactions for 2 Politically Exposed Persons Between 2002 to 2015, Failed to Perform...
United States SEC Fines Terraform Labs & South Korean Co-founder Do...
United States SEC Fines Terraform Labs & South Korean Co-founder Do Kwon $4.5 Billion & to Wind Down with Do Kwon to Pay $204...
Allianz Global Investors ex-CIO of Structured Alpha Funds Gregoire Tournant Pleads...
Allianz Global Investors ex-CIO of Structured Alpha Funds Gregoire Tournant Pleads Guilty to Investment Fraud & Forfeits $17.5 Million of Income & Bonuses Inflated...
Securities & Exchange Board of India Fines Ex-CNBC Awaaz Anchor Pradeep...
Securities & Exchange Board of India Fines Ex-CNBC Awaaz Anchor Pradeep Pandya & Analyst Alpesh Vasanji Furiya $120,000 Each for Fraudulent Trading & Banned...
Crypto Exchange Binance Founder & ex-CEO Changpeng Zhao with $33 Billion...
Crypto Exchange Binance Founder & ex-CEO Changpeng Zhao with $33 Billion Personal Fortune Starts 4-Month Jail Sentence in a United States California Low-Security Prison...
