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Financial Industry

Australia Securities & Investment Commission Fines JP Morgan $511,000 for Allowing...

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Australia Securities & Investment Commission Fines JP Morgan $511,000 for Allowing Client Orders on Wheat Futures Trading to Manipulate Market in 36 Orders in...
Capital Market

United States Federal Reserve & Banking Regulator OCC Fine JP Morgan...

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United States Federal Reserve & Banking Regulator OCC Fine JP Morgan $348 Million for Inadequate Monitoring & Market Misconduct Between 2014 to 2024 27th March...
Investment

Hong Kong SFC & Hong Kong Stock Exchange Took Joint Enforcement...

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Hong Kong SFC & Hong Kong Stock Exchange Took Joint Enforcement Action Against 2 Ex-Directors of GEM-Listed Company Global Uin Intelligence for Misconduct by...
Financial Industry

UK Financial Conduct Authority Sent Letters to More than 180 Banks...

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UK Financial Conduct Authority Sent Letters to More than 180 Banks & 280 Brokers for Non-Financial Misconduct Including Sexual Harassment, Bullying & Discrimination 2nd March...
Capital Market

Hong Kong SFC Starts Legal Proceedings to Disqualify 8 Directors &...

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Hong Kong SFC Starts Legal Proceedings to Disqualify 8 Directors & Chairman of Hong Kong Listed Mobile Game Company FingerTango for Misconduct & Breach...
2023

Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to...

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Hong Kong SFC and Accounting & Financial Reporting Council Collaborate to Tackle Misconduct by Listed Companies on Transferring Funds to 3rd-Party without Commercial Rationale...
2023

Hong Kong SFC Disqualified 2 Former Directors of Luxey International for...

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Hong Kong SFC Disqualified 2 Former Directors of Luxey International for Misconduct & Fraud on Corporate Acquisition, Used Nominees to Buy Acquisition Target at...
Financial Industry

Asset Manager Fidelity & Top Audit Firms EY & Deloitte Alleged...

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Asset Manager Fidelity & Top Audit Firms EY & Deloitte Alleged by Women of Sexual Misconducts at UK Lobby Group, 1 Incident of Rape...
Capital Market

China Regulator Issues Warning on Stock Market Manipulation, Crackdown on Bitcoin

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China Regulator Issues Warning on Stock Market Manipulation, Crackdown on Bitcoin 27th May 2021 | Hong Kong The Chairman of China’s financial market regulator China Securities...
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