Fines

Braemar Securities is in the spotlight after the National Futures Association (NFA) imposed a fine of $140,000 against the London-based broker. This penalty is in response to Braemar Securities' alleged failure to meet communication…

© Reuters. FILE PHOTO: The logo of social media platform X, formerly Twitter, is seen alongside the former logo in this illustration taken, July 24, 2023. REUTERS/Dado Ruvic/Illustration/File Photo By Byron Kaye SYDNEY (Reuters) - An…

The Securities and Exchange Commission (SEC) has imposed penalties totaling $79 million on ten firms for allegations of inadequate recordkeeping. The regulator said the crackdown had exposed a trend of inadequate electronic communication…

Economy Competition watchdog shocks steel industry tycoons with record fines Thursday August 24 2023 GRAPHIC | CHRISPUS BARGORETT | NMG Billionaire businessman Narendra ‘Guru’ Raval is among Kenyan tycoons and household names in…

China imposed roughly US$1.5 mn in financial penalties on the Beijing arm of Mintz Group for allegedly conducting unapproved statistical work.The info comes from a Wall Street Journal (gated) report, in brief:Beijing Municipal Bureau of…

© Reuters. A Meta logo is seen at the Viva Technology conference dedicated to innovation and startups at Porte de Versailles exhibition center in Paris, France, June 14, 2023. REUTERS/Gonzalo Fuentes By Byron Kaye SYDNEY (Reuters)…

Britain's financial watchdog has slammed Bank Havilland, a private bank based in Luxembourg, for £10m for allegedly creating and publishing a document containing "inappropriate advice" to potential clients. The UK's Financial Conduct…

Chinese authorities have fined leading crypto-mining hardware maker Bitmain for tax-related violations, local media reported. The penalty comes amid increasing tax checks in the digital asset sector, according to information from…