Regulation Authority

Violation

V

Saxo Bank Fined $50 million for AML Violations

In Market Maker, Regulated

81 views

S

FINRA Fines Wells Fargo Clearing Services $1.25 million

In North American Regulation, Regulated

70 views

F

CME Group Fines JPMorgan Securities for Rule Violations

In Market Maker, North American Regulation, Regulated

239 views

C

FINRA fines EFG Capital International for alleged violations

In Central American Regulation, Regulated

303 views

F

Spain Fines Deutsche Bank EUR 3 million for a “Very Serious” Violation

In European Securities and Markets Authority, Market Maker, Regulated

729 views

S

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

In Central American Regulation, Market Maker, Regulated

1,219 views

C

FINRA Fines Aegis Investments for Shortcomings in the AML Implementation

In Central American Regulation, Regulated

1,096 views

F

XTB France Fined EUR300,000 for Violating ESMA Rules

In European Securities and Markets Authority, Market Maker, Regulated

767 views

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