Category: Regulatory
Tradenet Capital Markets consents to C&D order to settle SEC charges
SEC has charged Israel-based Tradenet Capital Markets for unregistered security-based swap transactions.
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SEC revokes registration of Vortex Blockchain Technologies securities
VXBT has failed to comply with the Exchange Act because it has not filed any periodic reports with the SEC since the period to end-December 2019.
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Italy’s Consob orders blackout of more unauthorized investment websites
Consob has thus far ordered the blocking of access to 312 websites that offer online trading services without the necessary authorization.
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Goldman Sachs announces $174M in clawbacks, forfeitures and compensation cuts due to 1MDB scandal
The amounts Goldman Sachs is seeking to forfeit from Tim Leissner, Ng Chong Hwa, and Andrea Vella, total $76 million.
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ASIC matches EU regulators with 30x CFD leverage cap
What seems to have tipped ASIC to act was its review of how retail traders fared during the first volatile weeks of the COVID-19 pandemic.
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SEC charges Goldman Sachs with FCPA violations related to 1MDB bribe scheme
Goldman Sachs has agreed to pay more than $1 billion to settle the SEC’s charges related to the 1MDB bribe scheme.
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CySEC reaches €120k settlement with investment firm Key Way Investments
A settlement has been reached between CySEC and Key Way Investments Ltd for possible violations of investment services laws.
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FSCS payouts to London Capital & Finance customers top £38.1M
To date, the Financial Services Compensation Scheme (FSCS) has paid out more than £38.1 million in compensation to LCF customers.
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HK SFC fines Goldman Sachs Asia $350M for 1MDB bond offering failures
SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1MDB’s bond offerings.
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Swiss FINMA revises disgorgement estimate in 1MDB case against BSI
FINMA has revised the disgorgement of profits from BSI in the 1MDB case dating back to 2016.
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SteelEye enhances RegTech suite with Refinitiv multi-asset market data
Increased volume of high quality, multi-asset and global market data enables clients to enhance their compliance and analytics.
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DOJ insists former JPMorgan FX trader presents flight risk
Akshay Aiyer, sentenced to prison for FX market manipulation, presents flight risk, according to the DOJ.
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