Tags: Fine
Deutsche Bank’s DWS Hit with €25M Fine for Misleading ESG Claims: What You Need to Know
Deutsche Bank’s investment division, DWS, has been fined €25 million (about $27 million) by the Frankfurt prosecutor’s office for allegedly misrepresenting its sustainable investment practices.…
FCA Imposes £9.2 Million Fine on London Metal Exchange for Nickel Market Collapse
The FCA’s recent enforcement action against the London Metal Exchange (LME) highlights significant regulatory shortcomings following extreme volatility in its nickel futures contract in March…
BUX Faces €1.6 Million Fine from Dutch Regulators for Referral Incentive Violations
The Netherlands Authority for the Financial Markets (AFM) has fined neo-broker BUX €1.6 million for violating inducement regulations by providing incentives to customers and influencers.…
ABN Amro’s Neobroker Hit with €1.6M Fine for Paying Financial Influencers: What You Need to Know
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OKX Admits Guilt in Unlicensed Money Transfer Operations, Hit with $504M Fine
Aux Cayes Fintech, operating as OKEx and OKX, has pleaded guilty to running an unlicensed money transmitting business, leading to over $504 million in penalties.…
FCA Imposes First MiFIR Transaction Reporting Fine on Infinox Capital: A Landmark Enforcement Action
Infinox Capital Limited has been fined £99,200 by the Financial Conduct Authority (FCA) for failing to submit over 46,000 transaction reports, crucial for detecting potential…
CFPB Imposes $2.5 Million Fine on Wise: What You Need to Know
Wise, a London-based financial technology company, faces scrutiny from the Consumer Financial Protection Bureau (CFPB) for misleading advertising practices related to fees and exchange rates…
Infinox Faces First MiFiR Transaction Reporting Fine: What You Need to Know
Infinox Capital was fined £99,200 by the Financial Conduct Authority (FCA) for failing to submit 46,053 transaction reports between October 2022 and March 2023, which…
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