Tag: fine
Singapore MAS Fined Company Director S$70,000 for Carrying Money-Changing & Remittance...
Singapore MAS Fined Company Director S$70,000 for Carrying Money-Changing & Remittance Business Without Licenses, Deposited S$2.78 Million of Cheques with No Business Dealing
14th July...
Credit Suisse Fined $2.1 Million for Money Laundering Linkedin to Bulgarian...
Credit Suisse Fined $2.1 Million for Money Laundering Linkedin to Bulgarian Cocaine Trafficking, Additional $20 Million to Swiss Government
1st July 2022 | Hong Kong
Credit...
United States SEC Fines UBS $25 Million to Settle Investor Fraud...
United States SEC Fines UBS $25 Million to Settle Investor Fraud Charges for Yield Enhancement Strategy Account, Failed to Provide Advisors with Adequate Training...
13 Banks Including UBS, BNP Paribas, Bank of America, Barclays to...
13 Banks Including UBS, BNP Paribas, Bank of America, Barclays to Pay $91 Million for Singapore Interest Rates Rigging Conspiracy
3rd June 2022 | Singapore
13...
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...
