Tag: Fines
United States CFTC Fines Goldman Sachs $3 Million for Failure to...
United States CFTC Fines Goldman Sachs $3 Million for Failure to Maintain Adequate Supervisory System for Customer Trading & Submitted Misleading Information to Division...
United States CFTC Fines Goldman Sachs, JP Morgan & Bank of...
United States CFTC Fines Goldman Sachs, JP Morgan & Bank of America $50 Million for Failure in Swap Data Reporting & Pre-Trade Mid-Market Marks
30th...
United States SEC Fines & Charges: Chemical Group Albemarle Fined $103.6...
United States SEC Fines & Charges: Chemical Group Albemarle Fined $103.6 Million for Bribery in China, India, Vietnam, Indonesia & UAE, Electric Vehicle Company...
United States SEC Fines – Hydrogen Vehicle Company Hyzon Motors &...
United States SEC Fines - Hydrogen Vehicle Company Hyzon Motors & Executives Fined $25.3 Million for Fraud & Misleading Investors with Non-Existent Hydrogen Power...
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5...
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5 Million for Whatsapp Usage, Top Financial Institutions Fined $1.8 Billion in September 2022
12th...
United States SEC Probes Top Hedge Funds Messaging & Whatsapp Records,...
United States SEC Probes Top Hedge Funds Messaging & Whatsapp Records, Started Probe on Top Private Equity Firms in November 2022 with Financial Institutions...
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for...
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for Conducting Business on Whatsapp Despite Prior Warnings, Fined $200 Million in 2022 September...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS,...
United States SEC Fines 11 Firms $1.1 Billion for Using Text...
United States SEC Fines 11 Firms $1.1 Billion for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS, Credit Suisse, Goldman...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making Investment Decision by Directors, Questionable Underlying Companies Valuation Due to Minimal Due Diligence...
