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Results: 1-10 of 577

FINRA Resolves Charges Against Broker-Dealer for Inadequate Controls for Third-Party Payments From Customer Accounts; Hong Kong Regulator Sanctions Yet Another Broker for Similar Offense
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 16 2017

FSC Securities Corporation, a Securities and Exchange Commission-registered broker-dealer, agreed to pay a fine of US $200,000 to resolve a


Another Broker Sanctioned by HK SFC for AML Violations Related to Money Transfers Between Clients and Third Parties
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 9 2017

The Hong Kong Securities and Futures Commission fined Guoyuan Securities Brokerage (Hong Kong) Limited HK $4.5 million (approximately US $590,000


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


Malaysian National Sentenced by Singapore Court to 16 Weeks Imprisonment for Stock-Based Spoofing; PRC Resident Fined by China Regulator for Similar Conduct
  • Katten Muchin Rosenman LLP
  • Hong Kong, Malaysia
  • March 26 2017

Dennis Tey Thean Yang, a Malaysian national, was sentenced to 16 weeks imprisonment by a Singapore judge after he pleaded guilty to charges that he


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


HK SFC Sanctions Second Brokerage Company for Third-Party Deposits and Individual Manager at a Previously Fined Broker
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 19 2017

Zhongtai International Securities Limited was fined HK $2.6 million (US $335,000) for not having appropriate internal procedures to detect and report


Brokerage Firm Fined HK $2 Million (US $257,000) by HK SFC for Under-Segregating Client Funds
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 19 2017

The Hong Kong Securities and Futures Commission fined DBS Vickers (Hong Kong) Limited HK $2 million (US $257,000) for not segregating customer funds


HK SFC Sanctions Securities and Futures Broker for AML Breaches in Handling Third-Party Payments
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 12 2017

The Hong Kong Securities and Futures Commission fined Guangdong Securities HK $3 million (US $386,000) for failing to comply with anti-money