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…
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SEC 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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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,…
Read MoreAR 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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