Tag: fine
United States Fines Nasdaq $4 Million for Violation of Sanctions by...
United States Fines Nasdaq $4 Million for Violation of Sanctions by Processing Payments with Iran State-Owned Bank Mellat Through Previously Owned Armenian Stock Exchange...
China Financial Authority Imposed More than $46 Million in Fines to...
China Financial Authority Imposed More than $46 Million in Fines to Financial Institutions, China Citic Bank Fined $31.5 Million for 56 Violations & Ex-Citic...
United States Accounting Board Fines PwC China & Hong Kong $7...
United States Accounting Board Fines PwC China & Hong Kong $7 Million for Training Exam Misconduct with Over 1,000 Individuals Engaging in Answer Sharing...
Hong Kong SFC Fines Ruifeng Securities $665,000 for Failure in Fund...
Hong Kong SFC Fines Ruifeng Securities $665,000 for Failure in Fund Management & Accounting Opening Procedures and Suspends Responsible Officer Fang Zhi for 10...
Hong Kong Monetary Authority Fines CA Indosuez $448,000 for Anti-Money Laundering...
Hong Kong Monetary Authority Fines CA Indosuez $448,000 for Anti-Money Laundering Failure, Outsourced Money Laundering Control Activities to Service Provider But Service Was Suspended...
Broadcom Completes $69 Billion Acquisition of VMware on 22nd November 2023...
Broadcom Completes $69 Billion Acquisition of VMware on 22nd November 2023 after China Approval, $61 Billion in Cash & $8 Billion in Debt, Michael...
Crypto Exchange Binance Fined $4.3 Billion for Money-Laundering with Founder &...
Crypto Exchange Binance Fined $4.3 Billion for Money-Laundering with Founder & CEO Changpeng Zhao Pleads Guilty, Resigns as CEO & Pays $50 Million of...
Hong Kong SFC Fines Lion Futures $359,000 for Due Diligence &...
Hong Kong SFC Fines Lion Futures $359,000 for Due Diligence & Money-Laundering Failures Between 2017 to 2019
24th November 2023 | Hong Kong
The Hong Kong...
Morgan Stanley Fined $6.5 Million for Compromising Personal Data of Clients...
Morgan Stanley Fined $6.5 Million for Compromising Personal Data of Clients During Decommissioning of Computers, Failure to Maintain Proper Controls of Vendors & Hardware...
UBS Loses Court Appeal for Tax Fraud & Unlawful Solicitation of...
UBS Loses Court Appeal for Tax Fraud & Unlawful Solicitation of Clients in France, Succeeds in Gaining a New Trial & Judgement for $1.94...
