The Dubai Financial Services Authority (DFSA) has just announced that it has fined the company Enness Limited (Enness DIFC) USD…
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FCA fines Hall and Hanley Limited £91,000
The UK regulator FCA announced earlier today that it has imposed a financial penalty in the sum of £91,000 to…
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CySEC fines Solid Financial Services Limited €10,000
Cyprus regulator CySEC has yesterday announced that it has decided to impose a total fine of €10.000 to the company…
Read MoreUK FCA fines Henderson Investment Funds Limited £1,867,900
UK Financial Conduct Authority (FCA) has announced yesterday that it has fined Henderson Investment Funds Limited (HIFL) £1,867,900. The company…
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Principal of binary options trading firm fined $200,000 for illegal off-exchange trading
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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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…
Read MoreESMA 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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