Regulation Authority

Fine

F

CME fines BofA Securities USD 100,000 for Violating the Rules

In Central American Regulation, Market Maker, Regulated

1,370 views

C

FINRA Fines Aegis Investments for Shortcomings in the AML Implementation

In Central American Regulation, Regulated

1,285 views

F

Dutch Antitrust Authority Investigates whether Apple Has already Complied with its Order

In European Securities and Markets Authority, North American Regulation, Technology

1,181 views

D

Apple Fined EUR 5 million for Non-Compliance

In Central American Regulation, European Securities and Markets Authority, Technology, Uncategorized

1,398 views

A

FINRA fines E*TRADE USD 350,000 for Lack of Monitoring Procedures

In North American Regulation, Regulated

1,712 views

F

XTB France Fined EUR300,000 for Violating ESMA Rules

In European Securities and Markets Authority, Market Maker, Regulated

984 views

X

Interactive Brokers Fined USD84 Million for Violations During Negative Oil Prices

In Central American Regulation, Market Maker, Regulated

1,585 views

I

CME Fines Banca Patrimoni Sella for Violating Exchange Rules

In North American Regulation, Regulated

1,242 views

C

SEC Fines 8 Brokerage Firms for Non-Compliance with Cybersecurity Measures

In Central American Regulation, Regulated

1,198 views

S

Deutsche Securities Asia Fined HKD2.45 million by Hong Kong SFC

In Asian Regulation, Regulated

776 views

D