The CFTC requires Marex and Marex Spectron to pay a fine in the amounts of $250,000 and $120,000, respectively. Both…
Read More
Westpac to pay $1.3 billion fine to settle money laundering charges with AUSTRAC
Rose continued: Westpac’s failure to implement effective transaction monitoring programs, and its failure to submit IFTI reports to AUSTRAC and…
Read More
ICO issuer Unikrn to pay $6.1 million to settle charges with SEC
Kristina Littman, Chief of the SEC Enforcement Division’s Cyber Unit said: The securities registration and exemption framework is designed to…
Read More
New Zealand FMA finds Pegasus Markets and director guilty for financial registration abuse
The court found Pegasus guilty on charges for claiming to be registered and its director Reps for failing to prevent…
Read More
SCF Investment Advisors settle charges with SEC, agrees to return ill-gotton gains
SCF failed to disclose the conflict of interest to its clients nor did it adopt and implement procedures to prevent…
Read MoreSEC raises charges against Boon.Tech and CEO for $5 million ICO
Kristina Littman, Chief of the SEC Enforcement Division’s Cyber Unit said: Investors are entitled to truthful disclosures from issuers of…
Read More
Interactive Brokers to pay over $38 million penalty to settle charges with regulators
The CFTC filed charges against Interactive Brokers for failing to supervise its officers’, employees’, and agents’ handling of several commodity…
Read MoreNYMEX and two former employees to pay $4 million for disclosing trading information
This is the first time the CFTC has charged and exchange with violations of these regulations and disclosure of material…
Read MoreVFA to pay $40 million to settle charges brought by SEC
The US regulator also discovered that VFA did not disclose conflict of interest concerning millions of dollars of financial benefits…
Read More
Brilliance Capital Management to pay $30K fine for unlicensed activities
The court discovered that in January 2013 BCM presented itself as a finance services company and advised on listing application,…
Read More