CME Group announced today that Saxo Bank A/S, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the Chicago Mercantile Exchange to resolve two disciplinary actions against it for...more
Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more
9/1/2015
/ Administrative Hearings ,
Administrative Law Judge (ALJ) ,
Anti-Money Laundering ,
Appeals ,
Barclays ,
Block Trades ,
BNP Paribas ,
Capital Requirements ,
CFTC ,
Charles Schwab ,
Corporate Fines ,
Dark Pool ,
Dealers ,
Derivatives ,
Dismissals ,
EU ,
European Securities and Markets Authority (ESMA) ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Flash Boys ,
High Frequency Trading ,
Investment Adviser ,
Liquidation ,
National Futures Association ,
Office of Foreign Assets Control (OFAC) ,
Proposed Regulation ,
Sanctions ,
SAR ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
UBS
US Judge Says Sentinel 2007 Transfers to BNY Mellon Cannot Be Reversed as Made in Good Faith -
The Bank of New York Mellon Corporation (formerly Bank of New York) was absolved of having engaged in “egregious...more
12/16/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CFTC ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Investment Management ,
Liquidation ,
Personal Benefit ,
Securities and Exchange Commission (SEC) ,
Transfers