Tag: fine
$346 Billion China Tech Giant Tencent Dismissed 120 Employees in 2023...
$346 Billion China Tech Giant Tencent Dismissed 120 Employees in 2023 for Fraud, Corruption & Embezzlement, Around 20 Employees Reported to China Authorities &...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81 Million for Failure to Keep Record of Text Messages, 16 Firms Fined Include...
China Central Bank Fines 6 Credit Rating Agencies Including S&P China,...
China Central Bank Fines 6 Credit Rating Agencies Including S&P China, China Chengxin & China Lianhe $4.8 Million for Failing to Comply by Rating...
Hong Kong SFC Fines PICC Asset Management $358,000 for Failure to...
Hong Kong SFC Fines PICC Asset Management $358,000 for Failure to Ensure Investments Meet Fund-Stated Investment Strategy, Risk Management & Supervise Designated Fund Manager...
UK Prudential Regulation Authority Fines HSBC $72.8 Million for Failure in...
UK Prudential Regulation Authority Fines HSBC $72.8 Million for Failure in Depositors Protection in the Event of Firm’s Failure, Failed to Assign Clear Ownership...
United States SEC Fines Aon Investments $1.54 Million & Former Partner...
United States SEC Fines Aon Investments $1.54 Million & Former Partner Claire P. Shaughnessy $30,000 for Misleading Investment Calculation for $72 Billion Pension Fund...
United States & Fed Fine China ICBC $32.4 Million for Compliance...
United States & Fed Fine China ICBC $32.4 Million for Compliance Failures of Bank Secrecy Act & Anti-Money Laundering Laws & Regulations, Further Breaches...
China Fines 3 Chairman of Private Equity Firms & Listed Company...
China Fines 3 Chairman of Private Equity Firms & Listed Company $92.8 Million for Share Price Manipulation & Profiting $9.1 Million Between 2017 to...
United States SEC Fines JP Morgan $18 Million for Whistleblowing Violation...
United States SEC Fines JP Morgan $18 Million for Whistleblowing Violation by Preventing Hundreds of Clients from Reporting Potential Security Violations from 2020 to...
United States SEC Fines Morgan Stanley $249 Million for Fraud by...
United States SEC Fines Morgan Stanley $249 Million for Fraud by Disclosing Confidential Material & Non-Public Information of Block Trades, Used Information to Position...
