UK financial services firms receive 1.86M complaints in H1 2024, FCA data shows
The UK Financial Conduct Authority (FCA) has published the latest data about complaints reported by financial services firms.
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ASIC cancels licence of Next Generation Advice
ASIC has cancelled the Australian financial services (AFS) licence of Next Generation Advice Pty Ltd (in Liquidation).
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Ryan Choi to pay $1.8M to settle SEC charges for defrauding readers of Citron Research
The Securities and Exchange Commission today announced that Ryan Choi agreed to pay more than $1.8 million to settle charges.
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FCA writes to Novus Black Fund investors about unreported losses
The FCA has informed investors in Novus Black Fund UK Ltd about the firm's unreported losses.
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FCA places restrictions on Business Agent Limited
The UK Financial Conduct Authority (FCA) has imposed restrictions on Business Agent Limited from regulated activities over 'Nextcrowd' failings.
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SEC fines four cos nearly $7M for misleading disclosures regarding cyber risks and intrusions
The SEC charges stem from an investigation involving public companies impacted by the compromise of SolarWinds’ Orion software.
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FCA targets influencers touting financial services products illegally
Twenty finfluencers are being interviewed under caution by the FCA, as it launches targeted action.
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FINRA imposes $250k fine on Fenix Securities
Fenix Securities LLC has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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ASIC cancels Australian financial services licence of Ultiqa Lifestyle Promotions Limited
ASIC has cancelled the Australian financial services (AFS) licence and Australian credit licence of Ultiqa Lifestyle Promotions Limited.
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FINRA fines Maxim Group for deficient reporting
Maxim Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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FCA imposes £5.4M fine on Volkswagen Finance for treatment of customers in financial difficulty
The FCA has fined Volkswagen Financial Services (UK) Limited £5,397,600 for failing to treat its customers in financial difficulty fairly.
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HK regulator fast-tracks simple fund authorisation
Hong Kong's Securities and Futures Commission (SFC) will expedite the processing of applications from simple investment funds.
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Italy`s CONSOB orders blocking of four new illegal investment websites
Italy’s CONSOB has ordered the blocking of access to four new websites that offer financial services illegally.
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FINRA imposes $300k fine on CICC US Securities
CICC US Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with FINRA.
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HK regulator suspends former employee of Julius Baer for seven months
The SFC of Hong Kong has suspended Mr Singh Amit Kishan, a former employee of Bank Julius Baer & Co. Ltd, for seven months.
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FINRA fines Investment Network, CEO Gary Arnold
Financial Industry Regulatory Authority (FINRA) has imposed fines on Investment Network, Inc and its CEO Gary L. Arnold.
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Exclusive: Germany repealing punitive CFDs tax rule, retroactive to 2020
A 2020 law that has kept many German retail traders out of the CFDs trading market is being reversed.
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SEC charges CEO of Student Global with defrauding investors
The SEC has announced settled charges against Gustavo Dolfino for making material misrepresentations to investors in Student Global, LLC.
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HK regulator fines Zheshang International Financial Holdings $2.66M for regulatory breaches
The SFC has reprimanded and fined Zheshang International Financial Holdings Co., Limited $2.66 million.
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ASIC warns of increase in reports of stolen shares
ASIC is warning investors to be on high alert following a significant increase in reports of stolen shares since August 2024.
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SEC goes after Jeffrey Arsenault and Old Greenwich Capital Advisors
The Securities and Exchange Commission (SEC) has filed a lawsuit against Jeffrey Arsenault and Old Greenwich Capital Advisors, LLC.
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Italy`s CONSOB orders blocking of access to more unauthorized investment websites
Italy’s CONSOB has ordered the blocking of access to eight new websites that offer financial services illegally.
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SEC charges Norman Meier with multi-million dollar securities fraud
The Securities and Exchange Commission (SEC) has filed charges against Massachusetts resident Norman V. Meier.
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ASIC cancels two Australian financial services licences and 11 Australian credit licences
ASIC has cancelled two Australian financial services licences (AFS licence) and 11 Australian credit licences.
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