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Switzerland Financial Regulator FINMA to Expand Regulatory Oversight of Financial Industry...

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Switzerland Financial Regulator FINMA to Expand Regulatory Oversight of Financial Industry Including Holding Senior Managers & Executives Accountable for Misconduct & Recovery of Bonuses  8th...

United States Commodity Futures Trading Commission (CFTC) Placed 5 Employees (4...

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United States Commodity Futures Trading Commission (CFTC) Placed 5 Employees (4 Lawyers & 1 Investigator) on Leave for Alleged Misconduct in Fraud Investigation Case...

World Economic Forum (WEF) Board Launches Independent Investigation on Alleged Misconduct...

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World Economic Forum (WEF) Board Launches Independent Investigation on Alleged Misconduct by German, Chairman & Founder Klaus Schwab (Age 87) after Whistleblower Letter on...

United States SEC Fines One Oak Capital Management & ex-Advisor Michael...

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United States SEC Fines One Oak Capital Management & ex-Advisor Michael DeRosa $225,000 for Advisory Misconduct, Converted 180 Brokerage Accounts to Advisory Accounts with...

United States Federal Deposit Insurance Corp (FDIC) Suspends Bonuses for 12...

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United States Federal Deposit Insurance Corp (FDIC) Suspends Bonuses for 12 Executives in Misconduct Investigation, More than 1/3 Respondents in Internal Survey Revealed Experiencing...

Australia Securities & Investment Commission Fines JP Morgan $511,000 for Allowing...

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Australia Securities & Investment Commission Fines JP Morgan $511,000 for Allowing Client Orders on Wheat Futures Trading to Manipulate Market in 36 Orders in...

United States Federal Reserve & Banking Regulator OCC Fine JP Morgan...

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United States Federal Reserve & Banking Regulator OCC Fine JP Morgan $348 Million for Inadequate Monitoring & Market Misconduct Between 2014 to 2024 27th March...

Hong Kong SFC & Hong Kong Stock Exchange Took Joint Enforcement...

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Hong Kong SFC & Hong Kong Stock Exchange Took Joint Enforcement Action Against 2 Ex-Directors of GEM-Listed Company Global Uin Intelligence for Misconduct by...

UK Financial Conduct Authority Sent Letters to More than 180 Banks...

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UK Financial Conduct Authority Sent Letters to More than 180 Banks & 280 Brokers for Non-Financial Misconduct Including Sexual Harassment, Bullying & Discrimination 2nd March...

Hong Kong SFC Starts Legal Proceedings to Disqualify 8 Directors &...

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Hong Kong SFC Starts Legal Proceedings to Disqualify 8 Directors & Chairman of Hong Kong Listed Mobile Game Company FingerTango for Misconduct & Breach...