The Cyprus Securities and Exchange Commission (CySEC) has just informed the public that it decided the imposition of an administrative…
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Fines
Nasdaq Stockholm fines Leading Edge Materials Corp.
The Disciplinary Committee of Nasdaq Stockholm has informed that it has found that Leading Edge Materials Corp. (“LEM” or “the…
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CySEC fines the Director of Orphanides Public Company Ltd €5.000
The Cyprus Securities and Exchange Commission (CySEC) has just informed the public that it decided the imposition of an administrative…
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Bank of Nova Scotia hit with $800,000 fine for Precious Metals Spoofing
The U.S. Commodity Futures Trading Commission (CFTC) has announced that it has issued an Order filing and settling charges against…
Read MoreFCA fines Tesco Bank £16.4m for failures in 2016 cyber attack
The Financial Conduct Authority (FCA) has just announced that it has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for…
Read MorePrime broker Linear Investments disputes £409,300 FCA fine
The Financial Conduct Authority (FCA) has just published a Decision Notice concerning Linear Investments Limited (Linear). Linear failed to take…
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SEC charges former CEO of Sociedad Química y Minera de Chile with FCPA violations
The Securities and Exchange Commission (SEC) has announced that the former CEO of Chilean-based chemical and mining company Sociedad Química…
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SG Americas Securities fined $800.000 for improper handling of ADRs
The Securities and Exchange Commission (SEC) has announced that SG Americas Securities LLC will pay more than $800,000 to settle…
Read MoreCFTC fines Mizuho Bank $250,000
The Commodity Futures Trading Commission (CFTC) has issued an Order filing and settling charges against Mizuho Bank, Ltd. (Mizuho) for…
Read MoreCFTC hits Geneva Trading USA with $1.5M fine for Spoofing
The U.S. Commodity Futures Trading Commission (CFTC) announced that it has issued an Order filing and settling charges against Geneva Trading…
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