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United States SEC Fines Deutsche Bank Asset Management Subsidiary DWS $25...

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United States SEC Fines Deutsche Bank Asset Management Subsidiary DWS $25 Million for Anti-Money Laundering Violations & Misleading Statements on ESG Investment Process  28th September...

United States SEC Fines Goldman Sachs $6 Million for Failure to...

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United States SEC Fines Goldman Sachs $6 Million for Failure to Provide Accurate Securities Trading Information Known as Blue Sheet Data, Missing or Inaccurate...

United States SEC Fines Top Hedge Fund Founder & Billionaire Ken...

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United States SEC Fines Top Hedge Fund Founder & Billionaire Ken Griffin Broker-Dealer Citadel Securities $7 Million for Marking Millions of Orders Wrongly with...

United States SEC Fines Ride-Hailing Lyft $10 Million for Failure to...

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United States SEC Fines Ride-Hailing Lyft $10 Million for Failure to Disclose Director Related Interest in Selling $424 Million of Shares for Single Shareholder...

United States SEC Fines Real Estate Group CBRE $375,000 for Violating...

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United States SEC Fines Real Estate Group CBRE $375,000 for Violating Whistleblower Protection Rule, More than 800 Employees Signed Release Agreement with Separation Pay...

Hong Kong SFC Fines Chee Tak Securities $255,000 & Suspended Responsible...

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Hong Kong SFC Fines Chee Tak Securities $255,000 & Suspended Responsible Officer for 10 Months for Internal Control Failures & Regulatory Breaches, Failures Including...

Irish Data Protection Commission Fines TikTok $368 Million for Failure to...

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Irish Data Protection Commission Fines TikTok $368 Million for Failure to Manage Data to Protect Children 16th September 2023 | Hong Kong The Irish Data Protection...

Crypto Exchange Binance United States CEO Brian Shroder Leaves and Succeeded...

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Crypto Exchange Binance United States CEO Brian Shroder Leaves and Succeeded by Chief Legal Officer Normal Reed, Binance United States to Reduce 100 of...

United States SEC Fines Energy & Technology Group Monolith Resources $225,000...

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United States SEC Fines Energy & Technology Group Monolith Resources $225,000 for Using Employee Separation Agreement to Waive Rights to Whistleblower Awards Related to...

United States Commodity Futures Trading Commission Fines Goldman Sachs $5.5 Million...

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United States Commodity Futures Trading Commission Fines Goldman Sachs $5.5 Million for Failure to Record Phone Lines Again in 2020 Due to Hardware &...