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United States SEC Fines Citigroup $2.9 Million for Using Unverified Method...

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United States SEC Fines Citigroup $2.9 Million for Using Unverified Method to Calculate & Record Indirect Expenses for Underwriting Fees, Did Not Know Basis...

UK Office of Gas & Electricity Markets Fines Morgan Stanley $6.8...

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UK Office of Gas & Electricity Markets Fines Morgan Stanley $6.8 Million for Energy Traders Using Whatsapp & Not Maintaining Electronic Communications 25th August 2023...

United States SEC Fines Wells Fargo $35 Million & to Pay...

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United States SEC Fines Wells Fargo $35 Million & to Pay 10,900 Investment Advisory Account Holders $40 Million for Overcharging $26.8 Million in Advisory...

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...