According to the regulator’s order, from 2014 to 2016, the company failed to supervise accounts by not following its policy…
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Marex to pay $370K to settle charges with the CFTC
The CFTC requires Marex and Marex Spectron to pay a fine in the amounts of $250,000 and $120,000, respectively. Both…
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Credit Suisse pays $75K infringement fine
According to ASIC regulation NXXT Trade is not a transaction permitted for an on-market buy-back. The MDP considered that Credit…
Read MoreCFTC fines Gain Capital UK nearly $500K for registration and supervision violations
The regulator alleged that Gain UK failed to supervise diligently its US forex customers and missed warning signs of the…
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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…
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Bursa Malaysia fines Sunzen Biotech Berhad and Executive Directors
Bursa Malaysia Securities Berhad (Bursa Malaysia Securities) has announced yesterday that it has publicly reprimanded Sunzen Biotech Berhad (SUNZEN) and…
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Hong Kong SFC fines FIL Investment Management Ltd HK$3.5m for regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) has announced that it has fined FIL Investment Management (Hong Kong) Limited…
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FINRA fines Robinhood with $1.25m for dubious execution processes
FINRA has recently fined Robinhood with a $1.25 million for execution lapse processes. The California-based unicorn that offers commission-free trading…
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…
Read MoreSEC fines Block.one with $24 million for unregistered ICO
While the SEC is pondering whether to grant the existence of a Bitcoin ETF, it is not wasting time in…
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