Ameriprise Financial Services has agreed to pay a fine of $4.5m imposed by the US Securities and Exchange Commission (SEC) to settle charges over failing of safeguarding client assets.
17 Aug 2018
13 Aug 2018
02 Aug 2018
The UK's Financial Conduct Authority (FCA) has moved forward in its efforts to keep a check on misleading currency transfer services which promise unrealistic exchange rates.
23 Apr 2018
The US Securities and Exchange Commission (SEC) has imposed additional fraud charges on Centra Tech over allegations related to its $32m initial coin offering (ICO) scheme.
09 Apr 2018
The US Securities and Exchange Commission (SEC) has imposed a fine of $15m on three investment advisers over breaching fiduciary duties and raising improper fees from the clients
02 Apr 2018
UK-based Barclays Capital has signed an agreement with the US Department of Justice (DoJ) to pay $2bn to settle claims related to its residential mortgage-backed securities (RMBS).
07 Mar 2018
The Netherlands-based ABN AMRO has selected Wolters Kluwer and SAS to offer an integrated finance, risk and regulatory reporting software solution.