Tag: fine
United States SEC Fines Online Trading Platform eToro $1.5 Million for...
United States SEC Fines Online Trading Platform eToro $1.5 Million for Providing Unauthorised Securities in Crypto Assets & to Provide Only Bitcoin, Bitcoin Cash...
United States SEC Fines Deere & Company (John Deere) $10 Million...
United States SEC Fines Deere & Company (John Deere) $10 Million for Violating Foreign Corrupt Practices Act (FCPA) by Bribing Thailand Government Officials to...
China Regulators Issue PwC China 6-Month Ban & $62 Million (CNY...
China Regulators Issue PwC China 6-Month Ban & $62 Million (CNY 441 Million) Fine for Failure In Audit Of Collapsed China Evergrande. In 2024...
PwC to Appoint UK Partner Hermione Hudson to Lead PwC China...
PwC to Appoint UK Partner Hermione Hudson to Lead PwC China Which is Expecting a 6-month Ban Possibly Starting from 2024 September for Failure...
United States Imposed Permanent Ban on Student Loan Provider Navient and...
United States Imposed Permanent Ban on Student Loan Provider Navient and $120 Million Fine & Relief Settlement for Failing Borrowers Including Misleading Borrowers &...
United States SEC Fines 9 Investment Advisory Firms $1.24 Million for...
United States SEC Fines 9 Investment Advisory Firms $1.24 Million for Violating Marketing Rule with Misleading or Insufficient Disclosure on Advertisements, 9 Firms are...
United States SEC Fines 7 Firms $3 Million for Preventing Whistleblowers...
United States SEC Fines 7 Firms $3 Million for Preventing Whistleblowers from Reporting Potential Misconduct, 7 Firms are Acadia Healthcare, Brands Holding, AppFolio, IDEX...
United States Massachusetts Securities Regulator Fines Morgan Stanley $2 Million for...
United States Massachusetts Securities Regulator Fines Morgan Stanley $2 Million for Failure to Monitor Trades by First Republic Bank Insider Who Traded with Non-Public...
Australian Securities & Investments Commission Fines CLSA $144,300 for Failure to...
Australian Securities & Investments Commission Fines CLSA $144,300 for Failure to Provide Regulatory Data, Post-Trade Confirmations & Off-Market Transactions
9th September 2024 | Hong Kong
The...
United States SEC Fines Esmark Inc and Founder & Chairman James...
United States SEC Fines Esmark Inc and Founder & Chairman James Bouchard $600,000 for False Announcement to Buy U.S. Steel for $7.8 Billion Including...
