UK financial services firms receive 1.86M complaints in H1 2024, FCA data shows
The UK Financial Conduct Authority (FCA) has published the latest data about complaints reported by financial services firms.
2024-10-252.94w
ASIC cancels licence of Next Generation Advice
ASIC has cancelled the Australian financial services (AFS) licence of Next Generation Advice Pty Ltd (in Liquidation).
2024-10-252.89w
Ryan Choi to pay $1.8M to settle SEC charges for defrauding readers of Citron Research
The Securities and Exchange Commission today announced that Ryan Choi agreed to pay more than $1.8 million to settle charges.
2024-10-242.96w
FCA writes to Novus Black Fund investors about unreported losses
The FCA has informed investors in Novus Black Fund UK Ltd about the firm's unreported losses.
2024-10-242.71w
FCA places restrictions on Business Agent Limited
The UK Financial Conduct Authority (FCA) has imposed restrictions on Business Agent Limited from regulated activities over 'Nextcrowd' failings.
2024-10-232.79w
SEC fines four cos nearly $7M for misleading disclosures regarding cyber risks and intrusions
The SEC charges stem from an investigation involving public companies impacted by the compromise of SolarWinds’ Orion software.
2024-10-232.76w
FCA targets influencers touting financial services products illegally
Twenty finfluencers are being interviewed under caution by the FCA, as it launches targeted action.
2024-10-232.87w
FINRA imposes $250k fine on Fenix Securities
Fenix Securities LLC has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
2024-10-232.83w
ASIC cancels Australian financial services licence of Ultiqa Lifestyle Promotions Limited
ASIC has cancelled the Australian financial services (AFS) licence and Australian credit licence of Ultiqa Lifestyle Promotions Limited.
2024-10-232.76w
FINRA fines Maxim Group for deficient reporting
Maxim Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
2024-10-222.75w
FCA imposes £5.4M fine on Volkswagen Finance for treatment of customers in financial difficulty
The FCA has fined Volkswagen Financial Services (UK) Limited £5,397,600 for failing to treat its customers in financial difficulty fairly.
2024-10-222.90w
HK regulator fast-tracks simple fund authorisation
Hong Kong's Securities and Futures Commission (SFC) will expedite the processing of applications from simple investment funds.
2024-10-222.85w
Italy`s CONSOB orders blocking of four new illegal investment websites
Italy’s CONSOB has ordered the blocking of access to four new websites that offer financial services illegally.
2024-10-192.84w
FINRA imposes $300k fine on CICC US Securities
CICC US Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with FINRA.
2024-10-192.86w
HK regulator suspends former employee of Julius Baer for seven months
The SFC of Hong Kong has suspended Mr Singh Amit Kishan, a former employee of Bank Julius Baer & Co. Ltd, for seven months.
2024-10-192.79w
FINRA fines Investment Network, CEO Gary Arnold
Financial Industry Regulatory Authority (FINRA) has imposed fines on Investment Network, Inc and its CEO Gary L. Arnold.
2024-10-182.81w
Exclusive: Germany repealing punitive CFDs tax rule, retroactive to 2020
A 2020 law that has kept many German retail traders out of the CFDs trading market is being reversed.
2024-10-172.90w
SEC charges CEO of Student Global with defrauding investors
The SEC has announced settled charges against Gustavo Dolfino for making material misrepresentations to investors in Student Global, LLC.
2024-10-172.85w
HK regulator fines Zheshang International Financial Holdings $2.66M for regulatory breaches
The SFC has reprimanded and fined Zheshang International Financial Holdings Co., Limited $2.66 million.
2024-10-162.81w
ASIC warns of increase in reports of stolen shares
ASIC is warning investors to be on high alert following a significant increase in reports of stolen shares since August 2024.
2024-10-162.79w
SEC goes after Jeffrey Arsenault and Old Greenwich Capital Advisors
The Securities and Exchange Commission (SEC) has filed a lawsuit against Jeffrey Arsenault and Old Greenwich Capital Advisors, LLC.
2024-10-152.80w
Italy`s CONSOB orders blocking of access to more unauthorized investment websites
Italy’s CONSOB has ordered the blocking of access to eight new websites that offer financial services illegally.
2024-10-122.82w
SEC charges Norman Meier with multi-million dollar securities fraud
The Securities and Exchange Commission (SEC) has filed charges against Massachusetts resident Norman V. Meier.
2024-10-122.83w
ASIC cancels two Australian financial services licences and 11 Australian credit licences
ASIC has cancelled two Australian financial services licences (AFS licence) and 11 Australian credit licences.
2024-10-122.87w
More
Regula
757articles
Follow