The violations are said to have involved more than 330 million trade confirmations issued between February 2014 and November 2024, which contained misleading or incomplete disclosures regarding average trade prices. …
Month: December 2024
In its disciplinary action document, the regulator said the violations occurred over a seven-year period from October 2015 to December 2022 and involved more than 4.2 million transactions in options …
The regulator published a Consultation Paper on 27 December 2024. The proposal also requires that a Greek summary accompany all prospectuses to safeguard investor accessibility. Currently, CySEC mandates that prospectuses …
The move aimed at enhancing the bank’s data-driven services by integrating advanced artificial intelligence (AI) technologies and predictive analytics to provide greater value to customers and streamline internal processes. BBVA …
The regulator added that the fine is part of a larger $250,000 settlement which was resolved “simultaneously with similar matters.” FINRA states: "Regulation M under the Securities Exchange Act of …
The SFC investigation is said to have found that Ever-Long fell short in conducting due diligence, disclosing material issues, and ensuring the accuracy of the Application Proof submitted for Coastal’s …
The company revealed that effective 1 July 2025, three international subsidiaries—MUFG Securities EMEA plc, MUFG Securities Asia Limited, and MUFG Securities (Canada), Ltd.—will transfer from Mitsubishi UFJ Securities Holdings Co., …
The fine was for inaccuracies in its short interest positions reporting and deficiencies in its supervisory systems. According to FINRA, the violations spanned over 16 years, from June 2008 to …
The payments giant said in a release Thursday that it indicates a consumer base willing to spend, albeit with a focus on value. The data aligns with Visa's recent holiday …
In a press release this week, the payments giant explained the data reflects total spending from all payment methods, including cash and cheque, over a seven-week period starting on 1 …
