The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded Mr Lau Ki Fung, a former account…
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Fines
FCA fines Canara Bank £896,100 and imposes a restriction
The Financial Conduct Authority (FCA) has informed the public that it has fined Canara Bank £896,100 and has imposed a…
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Investment adviser deVere USA hit with $8 million fine for misleading retail clients
The U.S. Securities and Exchange Commission (SEC) has announced that New York-based investment adviser deVere USA, Inc. has agreed to…
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SocGen fined $750 million for LIBOR manipulation
The U.S. Commodity Futures Trading Commission (CFTC) has announced that it has issued an Order today filing and settling charges…
Read MoreSFC fines Hang Seng Investment Management Limited $3 million for regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) has informed that it has reprimanded and fined Hang Seng Investment Management…
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Introducing broker XFA fined by CFTC and NFA over trade allocation scheme
The U.S. Commodity Futures Trading Commission (CFTC) has issued an Order filing and simultaneously settling charges against X-Change Financial Access LLC (XFA)…
Read MoreSFC fines Noah Holdings Limited HK$5 million for regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) announced that it has publicly reprimanded and fined Noah Holdings (Hong Kong)…
Read MoreFINRA fines ICBCFS $5.3M for anti-money laundering compliance deficiencies
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services…
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SFC fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded and fined Citigroup Global Markets Asia Limited…
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Yahoo! Russia hack results in $35 million fine for parent Altaba
The U.S. Securities and Exchange Commission (SEC) has announced that the entity formerly known as Yahoo! Inc. has agreed to…
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