ITG Paying $24 Million for Improper Handling of ADRs
The Securities and Exchange Commission today announced that broker ITG agreed to pay more than $24.4 million to settle charges that it violated federal...
Russian regulator reviews MOEX USD/RUB FX Fixing
Following its monitoring of the MOEX USD/RUB FX Fixing, the Central Bank of Russia (CBR) has confirmed that the benchmark accurately reflects the market...
CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation...
ASIC warns customers about scam emails
The Australian Securities and Investments Commission (ASIC) is warning its Registry customers to be vigilant of scam emails purporting to be from ASIC.
We are...
SEC Charges Two Brokers With Defrauding Customers
The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was unsuitable for customers in...
IFSC Warning Notice: Global Trade Markets Ltd.
It has come to the notice of the International Financial Services Commission of Belize (IFSC) that an entity calling itself ‘Global Trade Markets Ltd.’...
SEC Awards $5.5 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical information that helped the...
CFTC Chairman Timothy Massad Announces Resignation as Chairman
Chairman Timothy G. Massad today said he has tendered to President Obama his resignation as Chairman of the U.S. Commodity Futures Trading Commission, effective...
SFC bans Lam Yuk Wai for life
The Securities and Futures Commission (SFC) has banned Mr Lam Yuk Wai, a former staff of HSBC Broking Securities (Asia) Limited, HSBC Broking Futures...
SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings
The Securities and Exchange Commission today charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant investor program, stealing their...