Tag: fine
United States SEC Charged Allianz Global Investors & 3 Senior Portfolio...
United States SEC Charged Allianz Global Investors & 3 Senior Portfolio Managers for Fraud to Conceal Complex Options Trading Strategy Called Structured Alpha in...
UK Financial Authority Fines GAM Investments $12 Million for Failure to...
UK Financial Authority Fines GAM Investments $12 Million for Failure to Manage Conflict of Interests with Greensill, Business Head Travelled on Greensill Private Jet...
Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control...
Hong Kong SFC Fines HSBC Securities Brokers $810k for Internal Control Failures and Breaches
4th March 2022 | Hong Kong
The Hong Kong Securities and Futures...
China Fines Tencent, Alibaba and Bilibili $78,000 Each for Violating Anti-Monopoly...
China Fines Tencent, Alibaba and Bilibili $78,000 Each for Violating Anti-Monopoly Law During M&A
7th January 2022 | Hong Kong
China State Administration for Market Regulation (SAMR)...
UBS Files Appeal for $2 Billion Penalty for Assisting French Clients...
UBS Files Appeal for $2 Billion Penalty for Assisting French Clients to Evade Tax Via Switzerland
24th December 2021 | Hong Kong
UBS has filed an...
HSBC Fined $85 Million for Failure in Anti-Money Laundering Processes
HSBC Fined $85 Million for Failure in Anti-Money Laundering Processes
24th December 2021 | Hong Kong
HSBC has been fined $85 million (GBP 63.9 million) for...
European Commission Fines UBS, Barclays, RBS, HSBC & Credit Suisse $389...
European Commission Fines UBS, Barclays, RBS, HSBC & Credit Suisse $389 Million for FX Spot Trading Cartel
3rd December 2021 | Hong Kong
The European Commission...
Credit Suisse Pays $475 Million Fines to US & UK Authorities...
Credit Suisse Pays $475 Million Fines to US & UK Authorities to Resolve Charges for Africa Bond Offerings
22nd October 2021 | Hong Kong
Credit Suisse...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose...
Hong Kong SFC Fines UBS $1.49 Million for Failure to Disclose Conflict of Interests, Risks and to Qualify Clients
5th August 2021 | Hong Kong
The...
Swiss Private Bank Julius Baer to Pay $79.7 Million Fine for...
Swiss Private Bank Julius Baer to Pay $79.7 Million Fine for Laundering $36 Million of FIFA Football Bribes
31st May 2021 | Hong Kong
Swiss Private...
