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UK financial services firms receive 1.86M complaints in H1 2024, FCA data shows
10-252.20w
ASIC cancels licence of Next Generation Advice
10-252.17w
Ryan Choi to pay $1.8M to settle SEC charges for defrauding readers of Citron Research
10-242.19w
FCA writes to Novus Black Fund investors about unreported losses
10-242.15w
FCA places restrictions on Business Agent Limited
10-232.18w
SEC fines four cos nearly $7M for misleading disclosures regarding cyber risks and intrusions
10-232.19w
FCA targets influencers touting financial services products illegally
10-232.18w
FINRA imposes $250k fine on Fenix Securities
10-232.17w
ASIC cancels Australian financial services licence of Ultiqa Lifestyle Promotions Limited
10-232.17w
FINRA fines Maxim Group for deficient reporting
10-222.19w
FCA imposes £5.4M fine on Volkswagen Finance for treatment of customers in financial difficulty
10-222.20w
HK regulator fast-tracks simple fund authorisation
10-222.20w
Italy`s CONSOB orders blocking of four new illegal investment websites
10-192.22w
FINRA imposes $300k fine on CICC US Securities
10-192.22w
HK regulator suspends former employee of Julius Baer for seven months
10-192.23w
FINRA fines Investment Network, CEO Gary Arnold
10-182.21w
Exclusive: Germany repealing punitive CFDs tax rule, retroactive to 2020
10-172.24w
SEC charges CEO of Student Global with defrauding investors
10-172.23w
HK regulator fines Zheshang International Financial Holdings $2.66M for regulatory breaches
10-162.24w
ASIC warns of increase in reports of stolen shares
10-162.24w
SEC goes after Jeffrey Arsenault and Old Greenwich Capital Advisors
10-152.24w
Italy`s CONSOB orders blocking of access to more unauthorized investment websites
10-122.26w
SEC charges Norman Meier with multi-million dollar securities fraud
10-122.26w
ASIC cancels two Australian financial services licences and 11 Australian credit licences
10-122.25w
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