The Market Misconduct Tribunal and Court of Appeal both ruled against the SFC before the case was brought to the Court of Final Appeal.
April 8, 2021The bank’s employees and agents concealed bribes paid to obtain and maintain lucrative business in Saudi Arabia, Abu Dhabi, Italy and China.
January 12, 2021Under the coordinated resolution, Goldman will pay $606mn in disgorgement and more than $2.3bn in penalties to authorities in the US, UK, Hong Kong and Singapore.
October 23, 2020Leissner has agreed to be permanently barred from the securities industry for violating antibribery, internal accounting controls, and books and records provisions of federal securities laws.
December 18, 2019Between 2006 and 2014, Deutsche Bank hired relatives of executives of Chinese and Russian state-owned enterprises to generate business for the bank.
August 27, 2019Three brokerages facing market bans had asked for a temporary stay to close out open futures and options positions.
May 7, 2019NSE will also be prohibited from issuing an IPO and launching new derivatives products for six months. Two former managing directors also found to be guilty.
May 1, 2019