Tag: misconduct
Switzerland Financial Regulator FINMA to Expand Regulatory Oversight of Financial Industry...
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...
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...
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...
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...
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...
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...
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...
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...
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 &...
Hong Kong SFC Starts Legal Proceedings to Disqualify 8 Directors & Chairman of Hong Kong Listed Mobile Game Company FingerTango for Misconduct & Breach...
