CS&C’s general pool held firm and client money for both UK and non-UK clients. The FCA determined that the CSUK…
Read More
Robinhood to pay $65 million to settle charges with SEC for misleading customers
Stephanie Avakian, Director of the SEC’s Enforcement Division, commented: Robinhood provided misleading information to customers about the true costs of…
Read MoreFCA fines Barclays £26 million for poor treatment of customers in financial difficulty
The FCA stated that between April 2014 and December 2018 some retail and small business customers who had been offered…
Read More
TFS-ICAP to pay $7 million fine for misleading clients
The CFTC also found that TFS-ICAP, its former CEO Ian Dibb and its former Emerging Markets desks head Jeremy Woolfenden…
Read More
CBOT fines StoneX $20K for trade transfer violations
CBOT stated: The transfers were not made to reconcile an error, omission, or outtrade. CBOT also noted that StoneX has…
Read MoreCFTC orders Gain Capital to pay $300,000 for supervision violations
According to the regulator’s order, from 2014 to 2016, the company failed to supervise accounts by not following its policy…
Read MoreMarex 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…
Read More
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…
Read More
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 More