Tag: fine
China Securities Regulatory Commission (CSRC) Fines China Accounting Firm Shanghai Tianheng...
China Securities Regulatory Commission (CSRC) Fines China Accounting Firm Shanghai Tianheng $6.1 Million for Issuing False Statements & Due Diligence Failure in Audit Report...
Singapore MAS Fines 4 Individuals & 1 Trading Representative $328,000 for...
Singapore MAS Fines 4 Individuals & 1 Trading Representative $328,000 for Abetting ex-Chairman of Previously Singapore-Listed Epicentre Holdings Kenneth Lim Tiong Hian in False...
United States Fines Cryptocurrency Exchange OKX $504 Million for Violating Anti-Money...
United States Fines Cryptocurrency Exchange OKX $504 Million for Violating Anti-Money Laundering Laws Without Registration & Serving United States Retail & Institutional Clients with...
Australian Securities & Investments Commission (ASIC) Fines Australia Largest Superannuation Fund...
Australian Securities & Investments Commission (ASIC) Fines Australia Largest Superannuation Fund AustralianSuper $17.1 Million for Failing to Merge 90,700 Members with Multiple Accounts from...
UK Competition & Markets Authority (CMA) Fines 4 Banks Citi, HSBC,...
UK Competition & Markets Authority (CMA) Fines 4 Banks Citi, HSBC, Morgan Stanley & Royal Bank of Canada (RBC) $132 Million for Anti-Competitive Conduct...
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures...
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures Against Financial Crime Relating to Cum-Ex Trading (Withholding Tax Claims), Received £1.45 Million...
United States SEC Fines One Oak Capital Management & ex-Advisor Michael...
United States SEC Fines One Oak Capital Management & ex-Advisor Michael DeRosa $225,000 for Advisory Misconduct, Converted 180 Brokerage Accounts to Advisory Accounts with...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls with Barclays Cooperating with Investigation, UK FCA Fined Barclays $50 Million in 2024...
Spain Securities Regulator Fines Deutsche Bank $10.3 Million for Breaches in...
Spain Securities Regulator Fines Deutsche Bank $10.3 Million for Breaches in Sale of Foreign Exchange Derivatives & Duty of Acting in Best Interest of...
UK-Sweden $223 Billion Pharmaceutical Giant AstraZeneca Faces $4.5 Million Fine in...
UK-Sweden $223 Billion Pharmaceutical Giant AstraZeneca Faces $4.5 Million Fine in China for $900,000 of Drug Import Tax Evasion, Fine of 1x to 5x...
