The Securities and Exchange Commission (SEC) has announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges…
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Fines
Royal Bank of Scotland pays $4.9 billion for financial crisis-era misconduct
The Justice Department has announced a $4.9 billion settlement with The Royal Bank of Scotland Group plc (RBS) resolving federal…
Read MoreASIC fines ASX-listed Gold Mountain Limited $33,000
ASX-listed company Gold Mountain Limited (Gold Mountain) has informed the public that it has paid a penalty of $33,000 after…
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CySEC imposes a €6.4M fine for the acquisition of Sea Star Capital Plc shares
The Cyprus Securities and Exchange Commission (CySEC) has just announced that it has imposed fines amounting to almost €6.4 million…
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Deutsche Bank hit with $75 million fine for improper handling of ADRs
The U.S. Securities and Exchange Commission (SEC) has announced that two U.S.-based subsidiaries of German financial services giant Deutsche Bank AG…
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Estonian FX broker Tallinex to pay $10M in restitution and $681K penalty
The U.S. Commodity Futures Trading Commission (CFTC) has announced that Judge David Nuffer of the U.S. District Court for the…
Read MoreCitigroup Global Markets Asia Ltd fined $4 million for alternative liquidity pool failures
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined Citigroup Global Markets…
Read MoreSFC fines CCB International Capital Limited $24 million for sponsor failures
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined CCB International Capital…
Read MoreCredit Suisse hit with $77 million in fines for FCPA violations
The U.S. Securities and Exchange Commission today announced that Credit Suisse Group AG will pay approximately $30 million to resolve…
Read MoreKarkotis Manufacturing & Trading Public Ltd fined €50,000 by CySEC
The Board of the Cyprus Securities and Exchange Commission (CySEC) has informed the public that, at the meeting held on…
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