All posts tagged "Citigroup Global Markets"
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1.0KEnforcementSFC Fines Citigroup Asia Unit for Client Facilitation Misconduct
Deceptive practices were deployed at the expense of clients’ best interest and to the detriment of market integrity, said SFC chief Ashley Alder.
January 29, 2022 -
1.1KEnforcement
CFTC Settles Charges Against Citi Over Deleted Audio Recordings
Citi's audio preservation system deleted more than 2.77 million audio files, including recordings that were subject to a December 2017 CFTC subpoena.
October 2, 2020 -
535Enforcement
UK Regulator Penalises Citigroup for Reporting Failures
Citi’s UK failings led to “significant errors” in the firms’ returns, preventing the Prudential Regulation Authority from obtaining an accurate picture of its capital or liquidity position.
November 28, 2019 -
1.3KEnforcement
UPDATED – Citigroup Japan Fined, Ordered to Improve Internal Controls
Having failed to detect after hours spoofing by a London trader, Citigroup Global Markets Japan has been fined, ordered to improve its controls, and suspended from participating in JGB auctions.
June 10, 2019
