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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
Brokers

CySEC Slaps €64,000 Fine on PriorFX for Multiple Charges

  • PriorFX is regulated by CySEC, license 221/13, and therefore has to comply with Cypriot regulations.
Thursday, 23/02/2017 | 16:11 GMT by Aziz Abdel-Qader
Regulation

RBS Fined $85 Million by CFTC for Manipulation of ISDAfix

  • Amongst themselves, RBS traders joked about their attempts to manipulate the USD ISDAFIX.
Friday, 03/02/2017 | 17:48 GMT by Aziz Abdel-Qader
Regulation

CFTC Orders E*TRADE Securities, Clearing to Pay $280K for Supervisory Failures

  • CFTC has levied a joint civil monetary penalty against E*TRADE's subsidiaries.
Thursday, 26/01/2017 | 18:12 GMT by Jeff Patterson
Regulation

RBS: Multi-Billion Pound Fine for Mis-Selling Imminent

  • The RBS board is due to sign off a massive charge for mis-selling mortgage-backed securities.
Thursday, 26/01/2017 | 07:27 GMT by Finance Magnates Staff
Brokers

Bdswiss Holding Settles with CySEC for €150K After Suspected Breach of Conduct

  • BDSwiss reached a settlement with CySEC for €150k amidst suspected violations of business conduct.
Monday, 23/01/2017 | 14:21 GMT by Jeff Patterson
Regulation

Citigroup Hit with $25m Fine by CFTC for Spoofing, Supervisory Failures

  • Citigroup was handed a $25 million civil monetary penalty for its role in spoofing.
Thursday, 19/01/2017 | 16:18 GMT by Jeff Patterson
Regulation

Morgan Stanley Ordered to Pay $13m Penalty for Overcharging Clients

  • Long-running deficiencies in safeguards resulted in billing errors causing customers to be overcharged.
Friday, 13/01/2017 | 19:33 GMT by Finance Magnates Staff
Regulation

ITG Settles for Over $24m with SEC Over ADR Securities Violations

  • ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
Thursday, 12/01/2017 | 16:57 GMT by Jeff Patterson
Regulation

US Bank Regulator Imposes $33m Fine on HSBC for Administration Failures

  • The bank has received another hefty fine for account failures that were considered unsafe and unsound.
Tuesday, 10/01/2017 | 07:58 GMT by Finance Magnates Staff
Regulation

Ex-Barclays Trader Faces $1m Fine and Jail Sentence for Currency Rigging

  • Jason Katz has pleaded guilty to price-fixing charges and has been banned from the banking industry.
Friday, 06/01/2017 | 07:17 GMT by Finance Magnates Staff
Regulation

Hong Kong's SFC Fines MIS Services $3 Million for Regulatory Breaches

  • The firm has been penalised for falling short of its key personnel requirements.
Tuesday, 03/01/2017 | 11:00 GMT by Finance Magnates Staff
Regulation

Colmex Pro Fined €100,000 by CySEC for Non-Compliance Issues

  • Founded in 2010, Colmex Pro offers investing and trading services across Europe based on its Cyprus license.
Tuesday, 27/12/2016 | 14:44 GMT by Avi Mizrahi
Prime Brokerage

Deutsche Bank Reiterates Capital Strength Following US Settlement

  • The recent settlement with US authorities will not affect the bank's credit rating or its ability to operate in the US.
Friday, 23/12/2016 | 19:08 GMT by Jeff Patterson
Regulation

Goldman Sachs Fined $120m, Following USD ISDAFIX Manipulation Charges

  • Goldman Sachs was charged with manipulating the USD ISDAFIX to help benefit its derivatives positions.
Wednesday, 21/12/2016 | 16:14 GMT by Jeff Patterson
Brokers

NFA Fines Avail Trading, David Manoukian $30k for Multiple Violations

  • Avail Trading and David Manoukian have settled with the NFA following a complaint earlier this year.
Monday, 19/12/2016 | 22:08 GMT by Jeff Patterson
Regulation

SEC Settles $37m Charges with Deutsche Bank Over Order Router Lapse

  • Deutsche Bank has agreed to settle with the SEC and the NY Attorney General’s office for $37m.
Friday, 16/12/2016 | 21:12 GMT by Jeff Patterson
Regulation

FINRA Slaps $3.25m Fine on Deutsche Bank Securities for ATS Violations

  • Deutsche Bank Securities has been fined for failing to provide uniform information to Alternative Trading System users.
Friday, 16/12/2016 | 16:45 GMT by Jeff Patterson
Exchanges

Nasdaq Stockholm, Clearing Fined by Swedish Regulator for Lax Security

  • Swedish Regulator Finansinspektionen has fined Nasdaq Stockholm and Nasdaq Clearing a collective $6 million.
Tuesday, 13/12/2016 | 16:49 GMT by Jeff Patterson
Regulation

PIMCO Settles with SEC For $20m After Misleading Investors Over ETF

  • PIMCO was on the hook for $20m to settle charges to the SEC after misleading investors over its ETF performance.
Thursday, 01/12/2016 | 22:09 GMT by Jeff Patterson
Regulation

Israel Fines an Unlicensed Binary Options Provider for the First Time

  • D.G.I Media has to pay NIS 500,000 for operating a binary options brokerage against regulations.
Wednesday, 16/11/2016 | 11:35 GMT by Avi Mizrahi
Regulation

EZTD Hit with $200K Fine over Legacy Issues

  • The binary options provider has been fined by the SEC for operating in the US.
Thursday, 10/11/2016 | 22:21 GMT by Jeff Patterson
Regulation

Yorkshire Group Charged $1.5m for Illegal Transactions

  • The Yorkshire Group illegally solicited and accepted funds from retail customers to purchase physical precious metals.
Thursday, 20/10/2016 | 06:59 GMT by Finance Magnates Staff
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