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Regulation

Wells Fargo Banking Executive to Leave with $95 Million in Options

Former Exec Carrie Tolstedt is leaving the bank with a hefty payout in stock and options.

Thursday, 15/09/2016 | 12:26 GMT by Finance Magnates Staff

Regulation

SFC Fines HSBC $2.5 Million for Internal Control Failures

HSBC has breached the SFC’s code of conduct relating to position limits and has been fined accordingly.

Wednesday, 14/09/2016 | 10:33 GMT by Finance Magnates Staff

Regulation

SFC Fines Morgan Stanley HK Securities $18.5m for Internal Control Failures

Hong Kong's SFC has reprimanded and fined Morgan Stanley Hong Kong Securities for a series of breaches.

Wednesday, 24/08/2016 | 10:32 GMT by Finance Magnates Staff

Regulation

Mega International Commercial Bank Fined $180m for AML Violations

Taiwan is investigating whether Mega Financial and its banking unit broke local criminal laws after receiving a US fine.

Tuesday, 23/08/2016 | 10:15 GMT by Finance Magnates Staff

Regulation

CySEC Imposes €2,000 Fine on M&L Invest Union Markets

Yet another forex brokerage has been fined by the Cyprus regulator.

Wednesday, 10/08/2016 | 14:11 GMT by Finance Magnates Staff

Regulation

Barclays Capital Fined $800,000 by CFTC for Supervision Failures

Supervisory failures over exchange and clearing fee processing led to customers being overcharged.

Thursday, 04/08/2016 | 17:53 GMT by Finance Magnates Staff

Prime Brokerage

Federal Reserve Fines Goldman Sachs $36.3m, Goes After Managing Director

The U.S. central bank has slapped a major fine on Goldman Sachs for leaking Fed documents.

Wednesday, 03/08/2016 | 16:08 GMT by Victor Golovtchenko

Regulation

Hong Kong’s SFC Fines SynerWealth Financial Ltd $2.7 Million

The SFC penalises another financial services provider for failing to report deficiencies in its trading system.

Tuesday, 31/05/2016 | 10:51 GMT by Finance Magnates Staff

Regulation

SFC Fines Hong-Kong Based Guotai Junan Securities $1.3 million

Hong Kong’s SFC imposes fine for failure to comply with its regulatory requirements regarding client identity.

Monday, 30/05/2016 | 11:45 GMT by Finance Magnates Staff

Regulation

Citi Draws $250m Fine for Charges Surrounding USD ISDAFIX

The fines at Citi keep coming, this time a $250 million penalty for manipulating the USD ISDAFIX.

Wednesday, 25/05/2016 | 14:07 GMT by Jeff Patterson

Regulation

CFTC Fines Citi, Affiliates for $175m for Yen LIBOR Manipulation

Citi and several Japanese affiliates were on the hook for $175M after their role in LIBOR manipulation and wrongdoing.

Wednesday, 25/05/2016 | 13:22 GMT by Jeff Patterson

Execution

SEC Announces Latest Settlement for $100k in Hacked News Story

Latest SEC settlement is with Oleksandr Makarov, bringing total recovered to $52 million.

Wednesday, 11/05/2016 | 08:14 GMT by Steven Hatzakis

Regulation

CFTC Fines Chicago FCM $150K over Several Historical Reporting Violations

Cunningham Commodities LLC and one of the company’s controllers were fined.

Tuesday, 10/05/2016 | 09:36 GMT by Steven Hatzakis

Regulation

CFTC Fines Brian Hinman $140k over Fraudulent Mass Email Solicitation

Emails were linked to the CFTC related action against Revelation Forex Fund.

Tuesday, 12/04/2016 | 20:02 GMT by Steven Hatzakis

Regulation

Moody’s Forced to Pay $11M Over “Red Flags" Report

SFAT has affirmed the SFC’s previous decision and fined Moody’s $11 million for painting a misleading picture of Chinese companies.

Tuesday, 05/04/2016 | 12:16 GMT by Damian Chmiel

Regulation

Mayzus Investment Company Fined €12K by CySEC

Cypriot watchdog imposes a total of two penalties on the CIF licensed company.

Thursday, 31/03/2016 | 19:18 GMT by Damian Chmiel

Regulation

LIBOR Conspirator Tom Hayes Ordered to Pay £878k Fine

Tom Hayes was given a confiscation order of £878k for LIBOR manipulation

Wednesday, 23/03/2016 | 14:49 GMT by Jeff Patterson

Regulation

NFA Settles with California IB for $125000 over a Fabricated Email

Hollencrest Securities gets NFA fine after ex-employee fabricated email.

Thursday, 17/03/2016 | 15:55 GMT by Steven Hatzakis

Regulation

SpotOption Exchange and BDSwiss Get Administrative Fines as CySEC Gets Tough

CySEC is ramping up its efforts to address complaints received from clients of Cyprus regulated brokers.

Wednesday, 16/03/2016 | 11:31 GMT by Victor Golovtchenko

Regulation

Breaking: IBFX Failed to Meet Capital Requirements Post SNB Crisis

IBFX will pay $1 million to settle with the US Commodity Futures Trading Commission due to minimum capital requirements violations.

Monday, 14/03/2016 | 20:59 GMT by Victor Golovtchenko

Regulation

SEC Impersonators Sift For Fees in Banc De Binary Settlement

The SEC has issued an alert after entities impersonating the regulator requested that clients to pay a fee for settlements.

Wednesday, 09/03/2016 | 19:21 GMT by Jeff Patterson

Regulation

Banc De Binary to Pay $11m Settlement to US Regulators

Following a multi-year investigation Banc De Binary is to pay $11m to settle with CFTC/SEC over allegations of illegally soliciting US clients.

Thursday, 25/02/2016 | 18:44 GMT by Steven Hatzakis

Regulation

US Tech Company Fined $28 Million over Chinese Officials Bribe

Chinese corruption binge brought onshore by an SEC investigation.

Tuesday, 16/02/2016 | 19:47 GMT by Steven Hatzakis

Regulation

Goldman Sachs Settles Pre-Financial Crisis Claims With $5.0B Settlement

Goldman will settle a claim to resolve state and federal investigations into its improper handling of mortgage-backed securities.

Friday, 15/01/2016 | 12:14 GMT by Jeff Patterson

Regulation

Barclays and Citigroup Draw Lawsuits From Former FX Traders

Jack Murray and Carly McWilliams are suing their former employers on the grounds of unfair dismissal at a London court.

Thursday, 14/01/2016 | 16:26 GMT by Jeff Patterson

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