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United States SEC Fines FinTech Investment Advisor Titan Global $1 Million...

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United States SEC Fines FinTech Investment Advisor Titan Global $1 Million for Misleading Advertising of 2,700% Hypothetical Returns from Titan Crypto Strategy 24th August 2023...

Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended...

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Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended Partially for 1 Year for 6 IPO Sponsor Failures Including Due Diligence, Advisory...

Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for...

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Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for Internal Control Failures for Suspicious Trading & Recording of Order Instructions, Only 5,000...

United States SEC Fines 11 Firms $289 Million for Record Keeping...

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United States SEC Fines 11 Firms $289 Million for Record Keeping Failures & Using Off-Channel Communications Including iMessage, Whatsapp & Signal Since 2019, Firms...

Crypto Exchange Binance Users Traded $90 Billion in China in 1...

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Crypto Exchange Binance Users Traded $90 Billion in China in 1 Month Accounting for 20% of Trading Volume Worldwide, China Issues Ban for All...

Switzerland FINMA on Credit Suisse Archegos Family Office: Seriously Violated Financial...

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Switzerland FINMA on Credit Suisse Archegos Family Office: Seriously Violated Financial Market Law & Incurred $5 Billion Losses on $24 Billion Exposure in March...

Hong Kong Court Fines Individual $768 for Dealing in Securities without...

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Hong Kong Court Fines Individual $768 for Dealing in Securities without Licence, Enticed 3 Retail Investors to Invest in First Asia Holdings & First...

United States Fed Fines UBS $268.5 Million & UK PRA Fines...

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United States Fed Fines UBS $268.5 Million & UK PRA Fines UBS $119 Million for Misconduct by Credit Suisse for Credit Risks Management Practices...

China Brokerage GF Securities Fined $1.39 Million for Due Diligence Failure...

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China Brokerage GF Securities Fined $1.39 Million for Due Diligence Failure & Fraudulent Documents as Sponsor & Underwriter for Insurance of Shares of Misho...

United States SEC Fines Digital World SPAC $18 Million for Failing...

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United States SEC Fines Digital World SPAC $18 Million for Failing to Disclose Plan to Acquire Trump Media & Technology Group Corp Prior to...