Tag: fine
United States CFTC Fines Singapore-Based Supply Chain Manager Olam Group $3.25...
United States CFTC Fines Singapore-Based Supply Chain Manager Olam Group $3.25 Million for Providing False, Misleading & Inaccurate Reports of $190 Million Cotton Sale...
Hong Kong SFC Fines Profitech Securities $513,000 for Failure to Maintain...
Hong Kong SFC Fines Profitech Securities $513,000 for Failure to Maintain Required Liquid Capital of HKD 3 Million ($386,000), Improperly Re-pledged Client Securities Collateral...
Crypto Exchange Binance Founder & ex-CEO Changpeng Zhao with $33 Billion...
Crypto Exchange Binance Founder & ex-CEO Changpeng Zhao with $33 Billion Personal Fortune Completes 4-Month Jail Sentence in a United States California Low-Security Prison...
United States CFTC Fines Canadian Imperial Bank of Commerce (CIBC) $30...
United States CFTC Fines Canadian Imperial Bank of Commerce (CIBC) $30 Million for Using Unauthorised Communications & Failure to Preserve Electronic Records, $1.25 Million...
United States SEC Fines Cassava Sciences, Founder & ex-CEO Remi Barbier...
United States SEC Fines Cassava Sciences, Founder & ex-CEO Remi Barbier & ex-SVP of Neuroscience Dr Lindsay Burn $40 Million in Settlement for Misleading...
United States SEC Fines 15 Firms & 10 Individuals $3.8 Million...
United States SEC Fines 15 Firms & 10 Individuals $3.8 Million for Failure to Timely Report Beneficial Ownership & Transactions in Public Companies, 15...
United States SEC Charged Software Technology Company SKAEL Co-founder & ex-CEO...
United States SEC Charged Software Technology Company SKAEL Co-founder & ex-CEO Baba Nadimpalli for Fraud, Raised $30 Million from Investors by Claiming Millions of...
United States SEC Fines 12 Financial Firms $88 Million for Using...
United States SEC Fines 12 Financial Firms $88 Million for Using Unauthorised Communications & Failure to Preserve Electronic Records, 12 Firms are Stifel, Nicolaus...
United States SEC Fines Merrill Lynch & Harvest Volatility Management $9.3...
United States SEC Fines Merrill Lynch & Harvest Volatility Management $9.3 Million for Exceeding Clients Investment Limits for 2 Years from 2016, Resulting in...
European Central Bank to Fine Banks & Lenders for Failing to...
European Central Bank to Fine Banks & Lenders for Failing to Meet Target Deadlines on Managing Climate Risk & Disclosures, Fine Will be Imposed...
