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ICE fines Olam International for alleged rule violations
ICE Futures U.S. has published a disciplinary notice against Olam International Limited. A subcommittee of the Exchange’s Business Conduct Committee (BCC) determined that Olam International
Sigma Broking to pay monetary penalty of $125,000 for alleged ICE rule violations
ICE Futures US has published a disciplinary notice regarding Sigma Broking Ltd. On July 12, 2023, a subcommittee of the Exchange’s Business Conduct Committee (BCC)
TP ICAP E&C agrees to pay $110,000 fine for alleged ICE rule violations
TP ICAP E&C Limited has agreed to pay a fine of $110,000 to settle ICE Futures US charges. On July 12, 2023, a subcommittee of
Bank of America agrees to pay $250 million over junk fees, other violations By Reuters
© Reuters. FILE PHOTO: A Bank of America logo is pictured in the Manhattan borough of New York City, New York, U.S., January 30, 2019.
Tradition Securities and Derivatives gets a slap on the wrist for violations of COMEX rules
Tradition Securities and Derivatives LLC has agreed to pay a fine for alleged violations of COMEX rules concerning trade reporting. The relevant COMEX rules state:
Wells Fargo gets a slap on the wrist for alleged violations of Cboe rules
Wells Fargo Securities LLC has agreed to pay a fine of $50,000 to settle allegations about Cboe Exchange rule violations. The matter originated from a
Microsoft to Pay $3 Million Over Russia Sanctions, Export Controls Violations
Risk & Compliance Journal The majority of the apparent violations involved blacklisted Russian companies or persons in the Crimea region of Ukraine, Treasury officials said
U.S., Microsoft reach settlement over tech firm’s sanctions violations By Reuters
© Reuters. FILE PHOTO: A view shows a Microsoft logo at Microsoft offices in Issy-les-Moulineaux near Paris, France, January 25, 2023. REUTERS/Gonzalo Fuentes By Kanishka
Goldman Sachs to pay $3 million to FINRA, major exchanges for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has announced the acceptance of an offer of settlement submitted by Goldman Sachs & Co. LLC. Goldman Sachs consents to
China probes ex-chairman of Everbright for ‘disciplinary violations’ By Reuters
© Reuters. FILE PHOTO: The company logos of China Everbright Limited are displayed at a news conference on the company’s annual results in Hong Kong,