All posts tagged "disgorgement"
-
138EnforcementSFC Wins Final Appeal in 2007 Insider Dealing Case
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, 2021 -
286AML / KYCDeutsche Bank to Pay $130m to Resolve FCPA Violations, Fraud Charges
The bank’s employees and agents concealed bribes paid to obtain and maintain lucrative business in Saudi Arabia, Abu Dhabi, Italy and China.
January 12, 2021 -
1.4KAML / KYCGoldman Resolves Remaining 1MDB Charges for $2.9bn
Under 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, 2020 -
404AML / KYC
US SEC Settles FCPA Charges Against Goldman’s Tim Leissner
Leissner 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, 2019 -
720ChinaUS SEC Fines Deutsche Bank $16m for Corrupt Hiring Practices
Between 2006 and 2014, Deutsche Bank hired relatives of executives of Chinese and Russian state-owned enterprises to generate business for the bank.
August 27, 2019 -
703EnforcementTemporary Relief to NSE Directors, Brokerages in Algo Case
Three brokerages facing market bans had asked for a temporary stay to close out open futures and options positions.
May 7, 2019 -
630Enforcement
UPDATED – NSE Ordered to Pay Disgorgement in Co-Location Case
NSE 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
