Hong Kong insurance regulator to start imposing penalties
It has published guidelines that will be effective from 23 September 2019
Fine
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Advice firms and directors draw wrath of UK watchdog
They recommended pension switches and transfers to products that invested in high risk, illiquid assets
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UBS shareholders slap down execs over record fine
Swiss bank was found guilty of money laundering and helping rich French clients avoid paying tax
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UAE insurance regulator sharpens its teeth
Insurance Authority set to enforce over 200 new fines on firms and brokers for not complying with its rules
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UK regulator wins tribunal case against DFM firm
The company contested a fine imposed by the FCA for market abuse failings
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US asset management firm to return over $5m to investors
The company was acquired by BB&T Securities and mislead its clients
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US firm fined $1bn for running a Ponzi scheme
Emergency action filed by US regulator after 8,500 retail investors were defrauded
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Disgraced UK investment firm execs to pay £80m fine
Ex-Keydata bosses given 16 days to pay or the regulator will take steps to recover the debt
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UK regulator hitting individuals with bigger fine
FCA denies changing tactics as total value of penalties drops 88% in 2018
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Celebrities hit with first US initial coin offering fines
Boxer Floyd Mayweather and music producer DJ Khaled failed to disclose payments to endorse ICOs
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Tribunal backs FCA decision to fine Keydata pair millions
Keydata’s chief executive and sales director found to have ‘acted without integrity’
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Jersey to fine individuals for breaking financial rules
Regulator can now penalise employees instead of just companies for breaches of Code of Practice