Cecabank chooses Broadridge’s SRD II proxy solution
SRD II proxy solution from Broadridge has enabled Cecabank to satisfy incoming regulation deadline from the Spanish government.
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Category: Regulatory
FINRA fines Goldman Sachs $1.25M for failing to fingerprint associated individuals
Between January 2015 to January 2018, Goldman Sachs failed to timely fingerprint at least 1,061 non-registered associated individuals.
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Dutch regulator confirms series of fines imposed on 24option.com operators
AFM has imposed a total of six fines on the operators of CFD trading platform 24option.com.
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ASIC confirms cyber incident affecting one of its servers
ASIC confirms that the cyber incident involved unauthorised access to a server which contained documents concerning Australian credit licence applications.
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CFTC pushes for nearly $5M in penalties against Forex fraudster Casper Mikkelsen
CFTC seeks Mikkelsen to pay a fine of $3.57 million and restitution of $1.19 million to the victims of his FX scam.
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