Tag: fine
United States SEC Fines 11 Firms $289 Million for Record Keeping...
United States SEC Fines 11 Firms $289 Million for Record Keeping Failures & Using Off-Channel Communications Including iMessage, Whatsapp & Signal Since 2019, Firms...
Crypto Exchange Binance Users Traded $90 Billion in China in 1...
Crypto Exchange Binance Users Traded $90 Billion in China in 1 Month Accounting for 20% of Trading Volume Worldwide, China Issues Ban for All...
Switzerland FINMA on Credit Suisse Archegos Family Office: Seriously Violated Financial...
Switzerland FINMA on Credit Suisse Archegos Family Office: Seriously Violated Financial Market Law & Incurred $5 Billion Losses on $24 Billion Exposure in March...
Hong Kong Court Fines Individual $768 for Dealing in Securities without...
Hong Kong Court Fines Individual $768 for Dealing in Securities without Licence, Enticed 3 Retail Investors to Invest in First Asia Holdings & First...
United States Fed Fines UBS $268.5 Million & UK PRA Fines...
United States Fed Fines UBS $268.5 Million & UK PRA Fines UBS $119 Million for Misconduct by Credit Suisse for Credit Risks Management Practices...
China Brokerage GF Securities Fined $1.39 Million for Due Diligence Failure...
China Brokerage GF Securities Fined $1.39 Million for Due Diligence Failure & Fraudulent Documents as Sponsor & Underwriter for Insurance of Shares of Misho...
United States SEC Fines Digital World SPAC $18 Million for Failing...
United States SEC Fines Digital World SPAC $18 Million for Failing to Disclose Plan to Acquire Trump Media & Technology Group Corp Prior to...
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets...
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets $350,000 for Operating Unregistered Securities Trading Platform, Allow Buyers & Sellers to Trade...
Bank of America Fined $250 Million for Opening Customers Accounts without...
Bank of America Fined $250 Million for Opening Customers Accounts without Permission, Double Charging Clients for Overdraft Fees & Withholding Credit Card Rewards
14th July...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to...
Hong Kong SFC Fines Changjiang Asset Management $265,000 for Failure to Segregate Client Money with Amount Ranging from $83,000 to $1 Million, Issued Inaccurate...
