The Hong Kong Securities and Futures Commission (SFC) has announced that it has reprimanded and fined Instinet Pacific Limited (IPL)…
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Fines
CySEC fines several companies for violations of transparency requirements
The Board of the Cyprus Securities and Exchange Commission (CySEC) has informed the public that, at its meetings held on…
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Spaceship and Tidswell fined for false and misleading conduct
Spaceship Financial Services Pty Ltd (Spaceship) and Tidswell Financial Services Pty Ltd (Tidswell) have each paid a $12,600 penalty for…
Read MoreTrade.com parent Leadcapital Markets Ltd fined €30,000 by CySEC for Romania client issues
Cyprus financial regulator CySEC has announced that it has issued a €30,000 fine to Leadcapital Markets Ltd. Leadcapital operates the Retail…
Read MoreFINRA fines Aegis Capital Corp. $550,000
It’s a tough day for Aegis Capital Corp. getting fined not once, but twice – this time by the Financial…
Read MoreHong Kong SFC fines individual $8,000 for unlicensed dealing
The Eastern Magistrates’ Court today convicted Mr Chan Chi Kit of unlicensed dealing in securities in a prosecution brought by…
Read MoreSFC reprimands and fines UBS Securities Asia Limited $4.5 million
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded and fined UBS Securities Asia Limited (UBS…
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Electronic Transaction Clearing settles charges of misusing client funds
The U.S. Securities and Exchange Commission (SEC) today announced that Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles,…
Read MoreSFC fines Deutsche Bank AKTIENGESELLSCHAFT and Deutsche Securities Asia Limited $8.3 million
The Hong Kong Securities and Futures Commission (SFC) announced that it has resolved its concerns with Deutsche Bank AKTIENGESELLSCHAFT (DBAG)…
Read MoreMerrill Lynch fined $1.25 million for failures in the unregistered sales of securities
The Securities and Exchange Commission (SEC) has announced settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. company for…
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