The Securities and Futures Commission (SFC) of Hong Kong has banned Mr Ng Ka Shun, responsible officer (RO) of Agg. Asset Management Limited, for life and fined him $1.7 million…
Tag: fxtm
Japanese regulator lodges criminal complaint against former employee of Tokyo Stock Exchange
The Japanese Securities and Exchange Surveillance Commission (SESC) today announced that it has lodged a criminal complaint against a former employee of Tokyo Stock Exchange, Inc., a subsidiary of Japan…
Sanlam provides court enforceable undertaking to ASIC
The Australian arm of South African financial services conglomerate Sanlam Group will need to have its compliance processes reviewed by an independent expert after it admitted to breaching its licensee…
Wells Fargo and LPL Financial agree to pay $900k civil penalty to resolve SEC charges
The Securities and Exchange Commission (SEC) today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information,…