Credit Suisse hit with fine in US over compliance lapses
US financial regulator has imposed a fine of $9m on Credit Suisse Securities for various operational failures, such as not…
Regulation & Compliance
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Regulation & Compliance
Morgan Stanley agrees to pay $60m to settle data lawsuit
American banking giant Morgan Stanley has reportedly agreed to pay $60m to settle a lawsuit that alleges that the bank…
BaFin fines $9.8m on Deutsche Bank over control lapses in Euribor interest rate
Germany’s financial regulator has imposed an administrative fine of $9.8m on Deutsche Bank for controls lapses associated with the Euribor…
Barclays gets regulatory nod to operate as a foreign ADI in Australia
British banking behemoth Barclays has secured a licence from the Australian Prudential Regulation Authority (APRA) to operate as a foreign…
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JP Morgan hit with $200m fine for work communication violations
JP Morgan Chase & Co. has been fined $200m by the US financial regulators after its executives were found using…
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Indian regulator sets new procedure for co-investment portfolio management service
The Securities and Exchange Board of India (SEBI) has laid out a new procedure for managing co-investment services through portfolio…
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UBS agrees $55.7m settlement in Belgian tax evasion case
UBS has reportedly agreed to a €49m ($55.7m) settlement with Belgian tax authorities in an alleged tax evasion case occurred…
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China banks to limit sale of wealth management offerings following risk concerns
Chinese regulators have reportedly instructed banks to cap the sales of wealth management products following concerns over the sudden boom…
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