Tag: regulator
UK Regulator FCA Fines Spain Largest Bank Santander $133 Million for...
UK Regulator FCA Fines Spain Largest Bank Santander $133 Million for Repeated Money-Laundering Offences, Impacting Account Oversight of 560,000 Business Customers
15th December 2022 |...
UK Regulator FCA Provides Guidance to Banks & Lenders to Support...
UK Regulator FCA Provides Guidance to Banks & Lenders to Support Existing Property Loans Borrowers, Including Options for Reduced Monthly Payment & Interest Only...
UK Regulator FCA Banned & Fined 3 Mizuho Traders $725,000 for...
UK Regulator FCA Banned & Fined 3 Mizuho Traders $725,000 for Market Manipulation, Placed Large Orders on Italian Government Bond Futures to Send False...
UK Regulator FCA Requires Firms to Have Right Expertise to Check...
UK Regulator FCA Requires Firms to Have Right Expertise to Check & Approve Financial Promotions & Advertisements, Strengthen Rules on Misleading Advertisements & High-Risk...
UK Regulator FCA Fines Julius Baer $21 Million for Improper Introducer...
UK Regulator FCA Fines Julius Baer $21 Million for Improper Introducer Fee Arrangement with Higher FX Transaction Fees & $3 Million Paid to Introducer,...
The Bahamas National Address on $32 Billion FTX: First Regulator in...
The Bahamas National Address on $32 Billion FTX: First Regulator in the World to Take Actions 1 Day after Binance Terminated Bailout, Alameda Research...
Deutsche Bank Faces Fine by Germany Regulator If Stronger Anti-Money Laundering...
Deutsche Bank Faces Fine by Germany Regulator If Stronger Anti-Money Laundering Controls are Not Implemented by Deadline
11th November 2022 | Hong Kong
Deutsche Bank, one...
Hong Kong SFC and Corruption Agency ICAC Crackdown on Stock Manipulation,...
Hong Kong SFC and Corruption Agency ICAC Crackdown on Stock Manipulation, Arrest Listco & Search IPO Underwriter
16th July 2021 | Hong Kong
Hong Kong Securities...
Keynote Speech by Chairman Yi Huiman at the CSRC Roundtable of...
Keynote Speech by Chairman Yi Huiman at the CSRC Roundtable of China Development Forum 2021
26th May 2021 | Hong Kong
This is a keynote...
