Barclays Capital agrees to pay $700k fine for alleged violations of FINRA rules
Barclays Capital Inc has agreed to pay a fine of $700,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Barclays Capital Inc has agreed to pay a fine of $700,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
The Securities and Exchange Commission (SEC) today announced settled charges against five registered investment advisers for Marketing Rule violations.
Italy’s Companies and Exchange Commission (CONSOB) has ordered the blocking of seven new websites that offer financial services illegally.
NFA has ordered 50.ai Investments LLC, a former NFA Member commodity pool operator and Forex firm, not to reapply for membership
eToro and XM have launched promotional campaigns on various social media and apps to entice its target market, including Filipinos, to trade.
Link Fund Solutions (LFS) failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund (WEIF).
DAI Securities, LLC has agreed to pay a fine of $50,000 as part of a settlement with the
Financial Industry Regulatory Authority (FINRA).
Wholesale licensee Lanterne Fund Services Pty Ltd has been ordered to pay a $1.25 million penalty by the Federal Court.
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Barclays Capital Inc has agreed to pay a fine of $700,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
The Securities and Exchange Commission (SEC) today announced settled charges against five registered investment advisers for Marketing Rule violations.
Italy’s Companies and Exchange Commission (CONSOB) has ordered the blocking of seven new websites that offer financial services illegally.
NFA has ordered 50.ai Investments LLC, a former NFA Member commodity pool operator and Forex firm, not to reapply for membership
eToro and XM have launched promotional campaigns on various social media and apps to entice its target market, including Filipinos, to trade.
Link Fund Solutions (LFS) failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund (WEIF).
DAI Securities, LLC has agreed to pay a fine of $50,000 as part of a settlement with the
Financial Industry Regulatory Authority (FINRA).
Wholesale licensee Lanterne Fund Services Pty Ltd has been ordered to pay a $1.25 million penalty by the Federal Court.
LATEST NEWS
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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