Tag: fine
United States SEC Fines 10 Firms $79 Million for Using Text...
United States SEC Fines 10 Firms $79 Million for Using Text Messaging Platforms Including Whatsapp & Not Maintaining Records of Communications, 10 Firms Fined...
United States SEC Fines Leading $60 Billion Hedge Fund D. E....
United States SEC Fines Leading $60 Billion Hedge Fund D. E. Shaw $10 Million for Violating Whistleblower Protection Rule, Required 400 Departing Employees to...
Singapore Court Fined Corporate Secretarial Firm Yuansen Business Director & China...
Singapore Court Fined Corporate Secretarial Firm Yuansen Business Director & China Citizen Liang Jiansen S$9,000 for Helping Scammers Setup Companies & Bank Accounts in...
China Leading Fintech Ant Group Opens New Office in Singapore &...
China Leading Fintech Ant Group Opens New Office in Singapore & Launches Ant International Foundation to Focus on Environmental Protection, Digital Inclusion of Underserved...
United States SEC Fines Deutsche Bank Asset Management Subsidiary DWS $25...
United States SEC Fines Deutsche Bank Asset Management Subsidiary DWS $25 Million for Anti-Money Laundering Violations & Misleading Statements on ESG Investment Process
28th September...
United States SEC Fines Goldman Sachs $6 Million for Failure to...
United States SEC Fines Goldman Sachs $6 Million for Failure to Provide Accurate Securities Trading Information Known as Blue Sheet Data, Missing or Inaccurate...
United States SEC Fines Top Hedge Fund Founder & Billionaire Ken...
United States SEC Fines Top Hedge Fund Founder & Billionaire Ken Griffin Broker-Dealer Citadel Securities $7 Million for Marking Millions of Orders Wrongly with...
United States SEC Fines Ride-Hailing Lyft $10 Million for Failure to...
United States SEC Fines Ride-Hailing Lyft $10 Million for Failure to Disclose Director Related Interest in Selling $424 Million of Shares for Single Shareholder...
United States SEC Fines Real Estate Group CBRE $375,000 for Violating...
United States SEC Fines Real Estate Group CBRE $375,000 for Violating Whistleblower Protection Rule, More than 800 Employees Signed Release Agreement with Separation Pay...
Hong Kong SFC Fines Chee Tak Securities $255,000 & Suspended Responsible...
Hong Kong SFC Fines Chee Tak Securities $255,000 & Suspended Responsible Officer for 10 Months for Internal Control Failures & Regulatory Breaches, Failures Including...
