Trending
- Asia shares up ahead of China holiday
- Asian shares rose on Friday
- Asian stocks mostly lower early Thursday
- Asian shares take breather after Wall Street gains
- European Stocks Seen Largely Higher; Virus Outbreaks Still a Worry
- Asian shares held to tight ranges on Monday
- European Stocks Edge Lower on Friday
- Asian stocks falter as Fed fails to offer fresh cause for cheer
- Asian shares mostly higher after Wall Street gains
- SEC Awards More Than $10 Million to Whistleblower
Browsing Category
Fine
Reason: MisleadingDate: 05/11/2018Amount: 8980000.00Link: https://asic.gov.au/about-asic/news-centre/find-a-media-release/2018-releases/18-334mr-melbourne-financial-services-and-credit-business-to-pay-9-million-for-multiple-breaches-of-obligations-and-consumer-protection-laws/
Read More...
Reason: Non CompliantContent of Penalty: The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) would like to inform the public that, at its meeting held on 3rd September 2018, decided to impose an administrative fine of €10.000 to Mrs Milena Valentinova Christofide,…
Read More...
Reason: Non CompliantContent of Penalty: The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) would like to inform the public that, at the meeting held on July 2, 2018, decided to impose an administrative fine of €50.000 to LQD Markets Ltd for non-compliance with…
Read More...
Reason: UnregulatedContent of Penalty:
The Securities and Exchange Commission today announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million to misled retail investors.
According to the…
Read More...
Reason: Non CompliantContent of Penalty: The Cyprus Securities and Exchange Commission («CySEC») would like to note the
following:
CySEC, under article 37(4) of the Cyprus Securities and Exchange Commission Law of 2009, has the power to reach a settlement for any violation or…
Read More...