Thailand-based trader pays $5.2 million to settle insider trading case
Thailand-based trader agrees to pay SEC $5.2 million to settle insider trading charges
Originally Published:
Thursday, September 5, 2013
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Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The FCA has fined Aberdeen for failing to identify and protect client money placed in money market deposits with third party banks.
Originally Published:
Tuesday, September 3, 2013
ASIC accepts enforceable undertaking from Wealthsure
ASIC accepts enforceable undertaking from Wealthsure and its former CEO after investigating its compliance systems
Originally Published:
Monday, September 2, 2013
Melbourne liquidator to be banned for 5 years
Liquidator is prohibited from being registered as a liquidator for 5 years following inquiry into his conduct
Originally Published:
Friday, August 30, 2013
SEC rewards three whistleblowers who helped stop sham hedge fund
SEC rewards three whistelblowers for tips and informations provided to help the Justice department stop a sham hedge fund
Originally Published:
Friday, August 30, 2013
Queensland man convicted of fraud following ASIC investigation
Man convicted of fraud and managing a company while disqualified is sentenced to 12 months imprisonment
Originally Published:
Wednesday, August 28, 2013
SEC sanctions portfolio manager for forging documents
SEC sanctions former portfolio manager for forging documents and misleading the firm’s chief compliance officer
Originally Published:
Tuesday, August 27, 2013
Former Gunns chairman convicted of insider trading
Former chairman of Gunns is convicted for insider trading after selling shares prior to the release of half year results
Originally Published:
Friday, August 23, 2013
ASIC to remove liquidator from industry
ASIC cancels a liquidator's registration after finding he was persistently and seriously dishonest in misappropriating funds
Originally Published:
Friday, August 23, 2013
Redress package agreed for consumers mis-sold CPP insurance products
FCA reaches agreement with CPP and 13 high street banks and credit card issuers for redress to customers mis-sold Card Protection and Identity Protection policies.
Originally Published:
Thursday, August 22, 2013