BaFin Penalizes Citigroup $13.8 Mln for Algorithmic Trading Flaws
Key Insights Germany’s BaFin fined Citigroup Global Markets Europe AG €12.975 million ($13.82 million) for algorithmic trading violations. Citigroup failed…
Key Insights Germany’s BaFin fined Citigroup Global Markets Europe AG €12.975 million ($13.82 million) for algorithmic trading violations. Citigroup failed…
Key Insights The UK’s FCA fined HSBC £6.28 million for failing to properly consider customers’ circumstances when they fell into…
Key Insights The UK’s FCA fined Citigroup $46 million over a $1.4 billion “fat finger” trading error that sent equities…
Key Insights Hilltop Securities fined $170,000 by Cboe Exchange for widespread reporting failures related to listed options positions. The firm…
Key Insights ASIC has cancelled the financial services licence of JB Markets Pty Ltd effective April 12, 2024. The cancellation…
Key Insights CySEC has extended the suspension of the authorization of the Cyprus Investment Firm FTX (EU) Ltd until September…
Key Insghts The Philippine SEC issued an advisory warning that eToro is not authorized to sell or offer securities in…
Key Insights The FCA secured a £1.6 million settlement from Argento Wealth Ltd (AWL) and its director Daniel Willis over…
Key Insights ASIC has cancelled the financial services licence of Crown Wealth Group Pty Ltd The licence cancellation comes after…
Key Insights Australia’s ASIC has permanently banned Brian Jacques Creigh from financial services Creigh provided misleading info in fund materials…