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Misconduct
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Institutional FX
Deutsche Bank's 'Project Teal' Probe on FX Mis-Selling to End after 3 Years
2023-02-20T14:47:38.930+02:00
ECB and BaFin are "not satisfied" with Deutsche Banks' internal probe.
The investigation may lead to another round of financial penalties.
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Regulation
Hong Kong’s SFC Signs MoU with ICAC to Fight Financial Crime
2019-08-19T13:22:30.000+02:00
The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.
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Celeste Skinner
Regulation
MAS to Focus on Helping Brokers Detect Customer Market Abuse
2019-03-20T09:23:37.000+02:00
The regulator plans to do this by helping firms strengthen their internal controls.
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Celeste Skinner
Regulation
Former Barclays FX Trader Acquitted of Market Manipulation
2019-03-05T10:05:24.000+02:00
A US judge determined that the options markets aren’t government by clearly defined rules of trust.
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Celeste Skinner
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Regulation
SFC Issues Further Notices to Brokers for Client Misconduct
2019-02-15T11:52:41.000+02:00
The three brokers have been issued the restriction notices as some of their clients are suspected of market misconduct.
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Brokers
SFC Issues Restriction Notices to Brokers for Client Misconduct
2019-01-04T12:13:04.000+02:00
Clients from three brokers are suspected by the SFC of market misconduct.
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Regulation
FCA Fines Former Deutsche Bank Trader £180,000, Issues Indefinite Ban
2018-03-05T16:13:39.000+02:00
Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA.
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Finance Magnates Staff
Regulation
Report on Global Regulation Shows Sanctions on the Rise in 2017
2018-01-12T15:53:49.000+02:00
US regulatory bodies remain the lead enforcers of sanctions pertaining to market conduct violations.
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Regulation
ANZ Reaches $50m Settlement with ASIC Following Breach in Trading Conduct
2017-11-10T11:05:39.000+02:00
A small group of ANZ traders engaged in misconduct on the BBSW market between 2010-12.
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