Search Results for: Deutsche Bank
SEC charged a former Deutsche Bank research analyst
February 19th, 2016
The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock that was inconsistent with his personal view. An SEC investigation found that Charles P. Grom certified that his March 29, 2012 ...
Euribor trial: 11 former Barclays, Deutsche Bank and Societe Generale employees set for first court appearance over rate fixing allegations
January 11th, 2016
Nearly a dozen people accused of manipulating a key rate of lending between European banks are due to make their first appearances in court this week in the latest of several rate rigging prosecutions brought by the Serious Fraud Office. 11 former employees of Barclays, Deutsche Bank and Societe ...
Freshfields advises Deutsche Bank on sale of stake in Hua Xia Bank
January 5th, 2016
International law firm Freshfields Bruckhaus Deringer has advised Deutsche Bank on the sale of its stake in Chinese financial institution Hua Xia Bank (Hua Xia) Under the terms of the transaction, Deutsche Bank will sell the entirety of its ...
Credit Suisse, Barclays and Deutsche Bank under new management
December 28th, 2015
In 2015, new bank chief executives have been rather like buses. You wait ages while anger mounts over regulation of the service, then three turn up at once. In the space of seven months in 2015, a trio of ...
German Regulator to Publish Deutsche Bank Libor Report in January ‘At the Earliest’
December 14th, 2015
Germany’s financial markets regulator, BaFin, is likely to publish its final report about its findings over the key reference rate Libor manipulation scandal at the beginning of January at the earliest, according to two people with knowledge of the matter. Accusations ...
FINRA Fines Deutsche Bank Securities Inc. $1.4 Million
November 20th, 2015
FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, ...
SFO issued the first criminal proceedings against Deutsche Bank and Barclays staff
November 16th, 2015
The Serious Fraud Office today issued the first criminal proceedings against 10 individuals accused of manipulating the Euro Interbank Offered Rate (EURIBOR). The following individuals will be charged with conspiracy to defraud in connection with the SFO’s ongoing investigation ...
US fines Deutsche Bank $258m for working with Iran
November 5th, 2015
German company Deutsche Bank has been fined $285m (£185m) by US regulators for working with US-sanctioned countries Syria and Iran. The bank will pay penalties to the New York State Department of Financial Services and the Federal Reserve. Employees ...
CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty
October 2nd, 2015
CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures CFTC Finds that Deutsche Bank Did Not Diligently Address and Correct Errors until after Bank Was Notified of ...
Document Reveals How Deutsche Bank Fires Traders With a ‘Thank You’
September 28th, 2015
E-mails show discussions on firing traders amid Libor scandal Internal script disclosed in filing to German regulators Deutsche Bank AG traders should be wary of calls that start with a thank you. “Thank you for making yourself available ...
