The Securities and Exchange Commission announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by ... Read More
ASIC, the financial regulator of Australia, has issued a press release to inform that it has suspended the Australian financial services (AFS) Licence of retail OTC derivative provider Australian ... Read More
The European Securities and Markets Authority (ESMA) has published four reports focused on how the European Markets Infrastructure Regulation (EMIR) framework has been functioning and providing input and recommendations ... Read More
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more ... Read More
The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that ... Read More
FCA UK has issued a press release to inform on its decision to ban and fine Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings. Robert Shaw, former director ... Read More
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret ... Read More
National Futures Association (NFA) has permanently barred Grace Financial Group LLC (Grace), an NFA Member introducing broker, and Christopher T. Bondy (Bondy), a principal and associated person (AP), from NFA membership. The Decisions ... Read More
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme ... Read More
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
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