SFC imposes HK$900,000 fine on Tung Tai Securities for failure to safeguard client assets
The Securities and Futures Commission (SFC) has reprimanded and fined Tung Tai Securities Company Limited HK$900,000.
Maria Nikolova
featured, SFC, Tung Tai
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The Securities and Futures Commission (SFC) has reprimanded and fined Tung Tai Securities Company Limited HK$900,000.
Maria Nikolova
ASIC, featured, Ferras Merhi, First Guardian, Interprac, Shield Master Fund
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ASIC has commenced civil penalty proceedings in the Federal Court against Interprac Financial Planning Pty Ltd.
Maria Nikolova
featured, NFA, Oil Brokerage
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The United States National Futures Association (NFA) has ordered Oil Brokerage Limited to pay a $290,000 fine.
Gerald Segal
CySEC fine, EMS Brokers, featured, FXNet
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FXNet operates the Retail FX and CFDs brokerage brand EMS Brokers (website emsbrokers.com).
Maria Nikolova
featured, FINRA, Piper Sandler
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Piper Sandler & Co has agreed to pay a fine of $95,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Maria Nikolova
Central Bank of Ireland, featured, fraud warning
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The Central Bank of Ireland today launched a campaign to help consumers avoid scams by highlighting how scammers’ techniques are evolving.
Maria Nikolova
featured, Netfin, SEC, SPAC, Srinivas Koneru, Triterras Fintech
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The Securities and Exchange Commission (SEC) has filed a lawsuit against Srinivas Koneru, Triterras Fintech’s founder and owner.
Maria Nikolova
featured, FINRA, Wedbush Securities
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FINRA has fined Wedbush Securities for failing to maintain possession or control of customers’ fully paid and excess margin securities.
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Maria Nikolova
featured, SFC, Tung Tai
0 Comments
The Securities and Futures Commission (SFC) has reprimanded and fined Tung Tai Securities Company Limited HK$900,000.
Maria Nikolova
ASIC, featured, Ferras Merhi, First Guardian, Interprac, Shield Master Fund
0 Comments
ASIC has commenced civil penalty proceedings in the Federal Court against Interprac Financial Planning Pty Ltd.
Maria Nikolova
featured, NFA, Oil Brokerage
0 Comments
The United States National Futures Association (NFA) has ordered Oil Brokerage Limited to pay a $290,000 fine.
Gerald Segal
CySEC fine, EMS Brokers, featured, FXNet
0 Comments
FXNet operates the Retail FX and CFDs brokerage brand EMS Brokers (website emsbrokers.com).
Maria Nikolova
featured, FINRA, Piper Sandler
0 Comments
Piper Sandler & Co has agreed to pay a fine of $95,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Maria Nikolova
Central Bank of Ireland, featured, fraud warning
0 Comments
The Central Bank of Ireland today launched a campaign to help consumers avoid scams by highlighting how scammers’ techniques are evolving.
Maria Nikolova
featured, Netfin, SEC, SPAC, Srinivas Koneru, Triterras Fintech
0 Comments
The Securities and Exchange Commission (SEC) has filed a lawsuit against Srinivas Koneru, Triterras Fintech’s founder and owner.
Maria Nikolova
featured, FINRA, Wedbush Securities
0 Comments
FINRA has fined Wedbush Securities for failing to maintain possession or control of customers’ fully paid and excess margin securities.
LATEST NEWS
Trust, access, and innovation: Inside Deriv’s strategy for the next billion traders
cTrader reaches 1,000+ Trustpilot reviews
Bitcoin Saved by Nvidia’s Earnings – But Can It Stay Above $90,000?
What Platforms Are Brokers Using in 2025?
CME and CF Benchmarks to launch two Bitcoin volatility indices FNG NEWSLETTER
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
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