Tag: fines

FINRA Fines RBC Capital Markets $360k for Supervisory Failure

The Financial Industry Regulatory Authority (FINRA) has hit RBC Capital Markets, a Toronto-headquartered global investment bank, with a censure order and monetary fine of $360,000 for the failure of its supervisory system between...

ASIC Fines AUSIEX and Hits CommSec With Largest Ever Penalty

The Australian Securities and Exchange Commission (ASIC) informed on Wednesday that the Federal Court had fined Australian Investment Exchange Limited (AUSIEX) and Commonwealth Securities Limited (CommSec). The cumulative penalty exceeds $27...

CySEC Fines General Capital Brokers €120k for Possible License Offense

The Cyprus Securities and Exchange Commission (CySEC) on Friday announced that it has reached a €120,000 settlement agreement with General Capital Brokers Limited, a Cyprus Investment Firm (CIF). Take Advantage of the Biggest...

Italian court cancels antitrust fines on Apple and Amazon By Reuters

2/2 © Reuters. FILE PHOTO: The Apple logo is seen at an Apple Store in Brooklyn, New York, U.S. October 23, 2020. REUTERS/Brendan McDermid/File Photo 2/2 ROME (Reuters) - An Italian administrative court canceled a fine...

Unique-U.S. increase fines for automakers not assembly gasoline financial system guidelines in Tesla win By Reuters

© Reuters. FILE PHOTO: Visitors is seen on a freeway in New York, U.S., July 2, 2021. REUTERS/Eduardo Munoz WASHINGTON (Reuters) -The U.S. Nationwide Freeway Visitors Security Administration (NHTSA) has reinstated larger penalties for...
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