The U.S. Commodity Futures Trading Commission (CFTC) has informed the public yesterday that it has required Curtis Dalton of Middleton,…
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Fines
AR Capital LLC charged with wrongfully obtaining millions of dollars
The Securities and Exchange Commission (SEC) has yesterday informed the public that it has charged AR Capital LLC, its founder…
Read MoreNomura pays misled bond clients $25m after SEC charges
The Securities and Exchange Commission (SEC) has yesterday informed the public that it has instituted two related enforcement actions against…
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ESMA fines the trade repository Regis-TR S.A. €56,000 for data access failures
EU’s securities markets’ regulator ESMA has just informed the public that it has fined the trade repository Regis-TR S.A. €56,000…
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China Merchants Securities (HK) Co. Limited fined $5 million for mishandling client money
The Hong Kong Securities and Futures Commission (SFC) informed that it has reprimanded China Merchants Securities (HK) Co., Limited (China…
Read MoreNSSC fines FPE Trading $165,000
The Nova Scotia Securities Commission announced earlier today that it has ordered Jean-Smaille Germeil and FPE Trading to pay an administrative…
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CySEC fines CIF Goldenburg Group Ltd €170.000
Cyprus regulator CySEC has just announced that it has decided to impose a total administrative fine of €170.000 to CIF…
Read MoreCySEC fines Bluehouse Investment Advisors Ltd €30.000
The Cyprus Securities and Exchange Commission (CySEC) has informed the public that it has decided to impose an administrative fine…
Read MoreNine Masts Capital Limited fined $1.2m over naked short selling
The Hong Kong Securities and Futures Commission (SFC) announced that it has fined the company Nine Masts Capital Limited $1.2…
Read MoreStandard Chartered Bank fined £102.2 million for poor AML controls
The Financial Conduct Authority (FCA) has announced yesterday that it has fined Standard Chartered Bank £102,163,200 for Anti-Money Laundering (AML)…
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