UPS to pay $45M penalty to settle SEC charges
The SEC today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings.
Regulatory News
Regulatory News
Gary Gensler set to leave SEC on January 20
Maria Nikolova
featured, Gary Gensler, SEC chair
0 Comments
The SEC today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on January 20, 2025.
Italy’s CONSOB issues orders for blocking of access to five unauthorised investment websites
Maria Nikolova
Consob, featured, Forex website blocked
0 Comments
Italy’s Companies and Exchange Commission (CONSOB) has ordered the blocking of access to five new websites that offer financial services illegally.
Irish c-bank takes enforcement action against BlueSnap Payment Services Ireland Limited
Maria Nikolova
BlueSnap, Central Bank of Ireland, featured
0 Comments
The Central Bank of Ireland has fined BlueSnap €324,240 for breaching requirements of the European Union (Payment Services) Regulations 2018.
SFC issues notices to Interactive Brokers, SBI, Monmonkey, Soochow to freeze certain client accounts
Maria Nikolova
featured, Interactive Brokers, SBI, SFC
0 Comments
The Securities and Futures Commission (SFC) of Hong Kong has issued restriction notices to four brokers.
Introducing broker XFA fined $400K by NFA for various violations
Gerald Segal
featured, Marex, NASDAQ:MRX, Timothy Hendricks, X-Change Financial Access, XFA
0 Comments
The Decision ordered XFA Senior Managing Partner Timothy Hendricks not to act in a supervisory capacity for XFA for 90 days.
FINRA imposes $175k fine on National Financial Services
Maria Nikolova
featured, FINRA, NFS
0 Comments
National Financial Services LLC (NFS) has agreed to pay a fine of $175,000 as a part of a settlement with FINRA.
HK regulator suspends former rep of Yuanta Securities for 26 months
Maria Nikolova
SFC, Yuanta Securities
0 Comments
The SFC has suspended the licence of Mr Wang Shian-tang, a former licensed representative of Yuanta Securities for 26 months.
LEADING BROKERS
LATEST NEWS
BGC Group appoints Mike Whitaker as Global Chief Information Officer
December 3, 2024- 21Shares and 21.co Technologies to become separate entities
December 3, 2024 - Capitolis acquires BGC Group’s Capitalab for $46M
December 3, 2024 - Finalto releases Watchlist 2025, identifying risks and opportunities in a changing world
December 3, 2024 - TradingView partners with Symphony to facilitate market research for finance professionals
December 3, 2024
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Regulatory News
UPS to pay $45M penalty to settle SEC charges
Maria Nikolova
featured, SEC, UPS
0 Comments
The SEC today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings.
Gary Gensler set to leave SEC on January 20
Maria Nikolova
featured, Gary Gensler, SEC chair
0 Comments
The SEC today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on January 20, 2025.
Italy’s CONSOB issues orders for blocking of access to five unauthorised investment websites
Maria Nikolova
Consob, featured, Forex website blocked
0 Comments
Italy’s Companies and Exchange Commission (CONSOB) has ordered the blocking of access to five new websites that offer financial services illegally.
Irish c-bank takes enforcement action against BlueSnap Payment Services Ireland Limited
Maria Nikolova
BlueSnap, Central Bank of Ireland, featured
0 Comments
The Central Bank of Ireland has fined BlueSnap €324,240 for breaching requirements of the European Union (Payment Services) Regulations 2018.
SFC issues notices to Interactive Brokers, SBI, Monmonkey, Soochow to freeze certain client accounts
Maria Nikolova
featured, Interactive Brokers, SBI, SFC
0 Comments
The Securities and Futures Commission (SFC) of Hong Kong has issued restriction notices to four brokers.
Introducing broker XFA fined $400K by NFA for various violations
Gerald Segal
featured, Marex, NASDAQ:MRX, Timothy Hendricks, X-Change Financial Access, XFA
0 Comments
The Decision ordered XFA Senior Managing Partner Timothy Hendricks not to act in a supervisory capacity for XFA for 90 days.
FINRA imposes $175k fine on National Financial Services
Maria Nikolova
featured, FINRA, NFS
0 Comments
National Financial Services LLC (NFS) has agreed to pay a fine of $175,000 as a part of a settlement with FINRA.
HK regulator suspends former rep of Yuanta Securities for 26 months
Maria Nikolova
SFC, Yuanta Securities
0 Comments
The SFC has suspended the licence of Mr Wang Shian-tang, a former licensed representative of Yuanta Securities for 26 months.
Regulatory News
LEADING BROKERS
LATEST NEWS
- BGC Group appoints Mike Whitaker as Global Chief Information Officer
December 3, 2024 - 21Shares and 21.co Technologies to become separate entities
December 3, 2024 - Capitolis acquires BGC Group’s Capitalab for $46M
December 3, 2024 - Finalto releases Watchlist 2025, identifying risks and opportunities in a changing world
December 3, 2024 - TradingView partners with Symphony to facilitate market research for finance professionals
December 3, 2024
FNG NEWSLETTER
Don't Miss a Story!
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
You have Successfully Subscribed!
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