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Regulation

Barclays CEO Jes Staley Fined over $850,000 by UK Authorities

  • The UK FCA and PRA jointly fined the former Barclay’s chief over lack of supervision of whistleblowing
Friday, 11/05/2018 | 13:54 GMT by Victor Golovtchenko
Regulation

UBS Securities Asia Limited Reprimanded and Fined $4.5 Million by SFC

  • The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.
Wednesday, 21/03/2018 | 12:30 GMT by Finance Magnates Staff
Regulation

FCA Fines Former Deutsche Bank Trader £180,000, Issues Indefinite Ban

  • Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA.
Monday, 05/03/2018 | 14:13 GMT by Finance Magnates Staff
Regulation

CySEC fines UFX Parent Reliantco Investments Ltd. €95,000 over Legacy Issues

  • The brokerage has already implemented changes to its risk warnings and advertising and on-boarding practices.
Wednesday, 20/12/2017 | 16:09 GMT by Victor Golovtchenko
Regulation

FXCM Asia Limited Draws Additional Fine from SFC

  • Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.
Wednesday, 13/12/2017 | 11:01 GMT by Jeff Patterson
Regulation

ANZ Reaches $50m Settlement with ASIC Following Breach in Trading Conduct

  • A small group of ANZ traders engaged in misconduct on the BBSW market between 2010-12.
Friday, 10/11/2017 | 09:05 GMT by Jeff Patterson
Regulation

ETrade HK Fined for Unauthorized Marketing in Hong Kong

  • ETrade US was fined for licensing lapses by the Hong Kong regulator.
Friday, 22/09/2017 | 15:03 GMT by Colin Firth
Brokers

US CFTC Fines Ikon Global Markets for Inadequate Recordkeeping

  • A $200,000 settlement is due to be paid to the US regulator by the defunct company.
Thursday, 31/08/2017 | 20:03 GMT by Victor Golovtchenko
Regulation

CFTC Fines New York Resident $635,000 for Commodity Futures Scam

  • Simon Posen, who ran the operation on his own, has been banned from trading in CFTC regulated markets.
Thursday, 27/07/2017 | 11:04 GMT by Finance Magnates Staff
Regulation

Deutsche Börse CEO’s Trading Probe Continues Despite $12m Settlement

  • BaFin has opened its own investigation into Deutsche Börse potentially misleading the public.
Thursday, 20/07/2017 | 10:16 GMT by Jeff Patterson
Regulation

FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting

  • The bank did not account for numerous conventional options positions between January 2010 and July 2016.
Wednesday, 19/07/2017 | 11:11 GMT by Finance Magnates Staff
Regulation

ISA Fines Israeli Forex Brokerage RFX $35K over Incomplete Reports

  • The broker’s clean track record saved it 75 percent of the original penalty.
Tuesday, 11/07/2017 | 11:01 GMT by Finance Magnates Staff
Brokers

CySEC Slaps €195k Fine, Ban on Falcon Brokers Limited’s Leadership

  • An eighteen month investigation into Falcon Brokers Ltd. has concluded with its harshest penalties to date.
Monday, 10/07/2017 | 11:29 GMT by Jeff Patterson
Regulation

CFTC Fines Futures Commission Merchant MTI $5 Million for Live Cattle Fraud

  • McVean Trading and Investments LLC brokerage has been charged with inserting false information into the market.
Thursday, 22/06/2017 | 11:06 GMT by Finance Magnates Staff
Prime Brokerage

Deutsche Bank Proposes to Forgo Bonuses to Ex-Executives for Legal Immunity

  • The bank has offered to forfeit bonuses owed to 10 ex-managers, which would absolve them of damage claims and guilt.
Tuesday, 13/06/2017 | 10:51 GMT by Jeff Patterson
Regulation

EU Fines Moody's for its Credit Rating of EU Financial Bodies

  • For the EU it seems that if you don't like the message, fine the messenger.
Thursday, 01/06/2017 | 09:32 GMT by Avi Mizrahi
Prime Brokerage

Chinese Regulatory Authorities Take Aim at Brokerage Abuse with Fines

  • Citic Securities, Haitong Securities, and Guosen Securities have all been fined by the Chinese regulator.
Wednesday, 24/05/2017 | 17:58 GMT by Jeff Patterson
Regulation

BNP Paribas Slapped with $350m Fine After FX Trading Manipulation

  • A NY regulator has fined BNP $350m after a dozen traders manipulated FX prices back in the 2000s.
Wednesday, 24/05/2017 | 17:07 GMT by Jeff Patterson
Regulation

Israeli Regulator Fines ATRADE for Misleading Advertising

  • AvaTrade's Israeli branch is fined for suggesting that it's safer to trade with a licensed brokerage.
Tuesday, 09/05/2017 | 11:22 GMT by Avi Mizrahi
Brokers

Breaking: Plus500 Settles with Belgium Regulator for €550K

  • Plus500 has reached a settlement with Belgium's FSMA, focusing on its offering of specific instruments.
Tuesday, 25/04/2017 | 06:43 GMT by Jeff Patterson
Regulation

Barclays’ CEO Faces Probe, Pay Cut After Whistleblower Allegations

  • Jes Staley is facing a probe from US and UK regulators over his alleged unmasking of a whistleblower.
Monday, 10/04/2017 | 06:49 GMT by Jeff Patterson
Brokers

CommexFX’s CIF License Withdrawn Following String of Suspensions, Fines

  • Following a lengthy suspension, CySEC has rescinded the CIF license of CommexFX.
Thursday, 06/04/2017 | 09:23 GMT by Jeff Patterson
Regulation

WhatsApp Snafu Earns Jefferies MD, Christoper Niehaus $46k Fine from FCA

  • Christoper Niehaus was fined $46,000 from the FCA for improperly sharing sensitive client information over WhatsApp.
Friday, 31/03/2017 | 10:48 GMT by Jeff Patterson
Regulation

CFTC Fines Binary Options Provider, Vision Financial Partners $6.5M

  • Neil Pecker Vision Financial Partners were slapped with a $6.5m fine and a permanent ban by the CFTC.
Tuesday, 21/03/2017 | 16:12 GMT by Jeff Patterson
Regulation

US Department of Justice Closes Probe into Deutsche Bank's FX Activities

  • A US DoJ investigation has been closed, yielding no fine for Deutsche Bank after a probe into its FX activities.
Monday, 20/03/2017 | 16:48 GMT by Jeff Patterson
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