In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment ... Read More
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that at its meeting dated 27 November 2017, decided to withdraw the suspension of the ... Read More
An ASIC report on the cyber resilience of over 100 firms operating across Australia’s financial markets has shown a growing understanding of cyber risks, but there is still some ... Read More
The Commodity Futures Trading Commission (CFTC) obtained a Consent Order against Defendants Joseph Dufresne (a/k/a/ Joseph James) and Megan Renkow (a/k/a Megan James), both of Palos Verdes Estates, California, ... Read More
Volkswagen Financial Services Australia Pty Ltd has paid a penalty of $216,000 after ASIC issued 20 infringement notices for alleged misleading statements made by VWFSA as part of its ... Read More
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) issued a circular highlighting observations from their recent joint thematic reviews on the potential conflicts of interest ... Read More
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Holland (Netherlands Authority for the Financial Markets – AFM), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), ... Read More
The Securities and Exchange Commission (SEC) charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal securities offerings by hiding the ... Read More
The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
The Commodity Futures Trading Commission (CFTC) obtained $1,127,855 in restitution for defrauded pool participants and $3,383,565 in civil monetary penalties in a federal court Default Judgment Order against Defendants ... Read More
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