Tag: Fines
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for...
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for Conducting Business on Whatsapp Despite Prior Warnings, Fined $200 Million in 2022 September...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS,...
United States SEC Fines 11 Firms $1.1 Billion for Using Text...
United States SEC Fines 11 Firms $1.1 Billion for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS, Credit Suisse, Goldman...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making...
Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making Investment Decision by Directors, Questionable Underlying Companies Valuation Due to Minimal Due Diligence...
Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering...
Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering Breaches, Failure to Identify $31 Million from 178 Transactions
17th June 2022 | Hong...
Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...
Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients
28th January 2022 | Hong Kong
The Hong Kong Securities and Futures...
JP Morgan Fined $200 Million for Employees Using Messaging Apps &...
JP Morgan Fined $200 Million for Employees Using Messaging Apps & WhatsApp
24th December 2021 | Hong Kong
The United States Securities and Exchange Commission (SEC)...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000...
Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000 Fines, 47527 Licensees, ESG Guidelines for Asset Managers
19th August 2021 | Hong Kong
The...
Credit Suisse and Nomura in $6 Billion Hit by Bill Hwang Archegos...
Credit Suisse and Nomura in $6 Billion Hit by Bill Hwang Archegos Family Office
5th April 2021 | Hong Kong
Credit Suisse and Nomura are facing nearly...
Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities
Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities
The Eastern Magistrates’ Court in Hong Kong has convicted an individual of dealing in...
