SFC Fines DBS Vickers Hong Kong
SFC Fines DBS Vickers Hong Kong
The Securities and Futures Commission (SFC) has fined DBS Vickers Hong Kong $2 million for regulatory breaches and internal...
MAS Issues Prohibition Orders Against Individuals involved in 1MDB Related Matters
MAS Issues Prohibition Orders Against Individuals involved in 1MDB Related Matters
The Monetary Authority of Singapore (MAS) has issued a 10 year Prohibition Order against...
Australian Regulator Bans Former Wealth Manager Permanently
Australian Regulator Bans Former Wealth Manager Permanently
The Australian Securities and Investments Commission (ASIC) has permanently banned Andrew Peter Panayiotides previously from Morgan Stanley Wealth...
Former Trader Convicted in First Spoofing Case in Singapore
Former Trader Convicted in First Spoofing Case in Singapore
An ex-trader at DBS Vickers Securities Singapore Pte was convicted for spoofing the securities markets in...
Ex-Forex Traders Sentenced to Jail
Ex-Forex Traders Sentenced to Jail
Former currency traders from Deutsche Bank AG & HSBC Holdings were sentenced to jail term for as long as 15...
SFC Bans Former Employee of HSBC for Life
SFC Bans Former Employee of HSBC for Life
The Securities and Futures Commission(SFC) has banned Ms Li Lee, a former employee of HSBC from entering...
Coutts & Co Ltd Fined for Violating Money Laundering Rules
Coutts & Co Ltd Fined for Violating Money Laundering Rules
Switerzland’s financial regulator has fined Coutts & Co Ltd for violating money laundering rules and...
MAS Grants Financial Adviser’s License to Morningstar Investment Adviser Singapore Pte Ltd
MAS Grants Financial Adviser’s License to Morningstar Investment Adviser Singapore Pte Ltd
The Monetary Authority of Singapore (MAS) has granted Morningstar Investment Adviser Singapore Pte...
SFC Fines Value Partners $4 Million
SFC Fines Value Partners $4 Million
SFC has fined Value Partners Limited and Value Partners Hong Kong Limited $2 million respectively for failures to comply...
Ex-Currency Traders in Singapore Admit to Cheating
Ex-Currency Traders in Singapore Admit to Cheating
Two ex-currency traders from Deutsche Bank AG and HSBC Holdings Plc has admitted to cheating the banks by...
