Tag: fine
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...
United States SEC Fines 6 Credit Rating Agencies $49 Million for...
United States SEC Fines 6 Credit Rating Agencies $49 Million for Failure to Keep Communication Records, 6 Credit Rating Agencies are Moody’s, S&P Global...
Germany Court Orders Wirecard ex-CEO Markus Braun & 2 Executives to...
Germany Court Orders Wirecard ex-CEO Markus Braun & 2 Executives to Pay $155 Million for Violation of Duties to Approve Loans to Business Partner...
UK Prudential Regulation Authority Instructs HSBC to Review Data on Risk...
UK Prudential Regulation Authority Instructs HSBC to Review Data on Risk Management in Commercial Banking, Investment Banking & Global Markets
5th September 2024 | Hong...
United States CFTC Fines Nasdaq Futures $22 Million for Failure to...
United States CFTC Fines Nasdaq Futures $22 Million for Failure to Disclose Traders Incentive Program Including to Designated Market Marker on Energy Commodity Futures...
United States CFTC Fines Switzerland Energy Trader TOTSA TotalEnergies Trading SA...
United States CFTC Fines Switzerland Energy Trader TOTSA TotalEnergies Trading SA $48 Million for Market Manipulation of EBOB-Linked Futures Contracts (Gasoline) to Benefit its...
United States CFTC Fines Bank of New York Mellon $5 Million...
United States CFTC Fines Bank of New York Mellon $5 Million for Failure to Correctly Report at Least 5 Million of Swap Transactions &...
Hong Kong Monetary Authority Fines WeChat Pay $112,000 for Failure in...
Hong Kong Monetary Authority Fines WeChat Pay $112,000 for Failure in Customer Due Diligence & Applying Enhanced Due Diligence to Manage Risks of Money...
