All posts tagged "Goldman Sachs"
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325ChinaGoldman Files Application to Control China Securities JV
Goldman is seeking to bring its China business in line with its operations in other parts of the world – as its local partner folds its operations into the joint venture.
August 22, 2019 -
335AML / KYC
Malaysia Files Criminal Charges Against 17 Goldman Directors
The current and former directors each face 1MDB-related charges carrying a maximum 10-year jail term and a minimum penalty of 1 million ringgit.
August 12, 2019 -
939AML / KYCUS Authorities Probe Deutsche Bank Dealings With 1MDB
The DOJ probe is looking into whether Deutsche Bank failed to comply with US AML or foreign bribery laws in the course of raising $1.2bn for 1MDB in 2014.
July 13, 2019 -
795AML / KYCGoldman Banker Tim Leissner Banned for Life in Hong Kong
Leissner’s conduct in relation to the Malaysian state fund 1MDB called into question his fitness and properness to be a licensed person, the SFC said.
July 4, 2019 -
575AML / KYCGoldman’s Compensation Offer for 1MDB Losses ‘Not Adequate’
Prime Minister Mahathir Mohamad says Goldman's $240mn offer to compensate Malaysia for the bank's role in the 1MDB scandal is not adequate.
June 25, 2019 -
453AML / KYCMalaysia Extradites Former Goldman Banker to US
Extradited from Malaysia, the former Goldman Sachs banker Roger Ng has pleaded not guilty to 1MDB-related charges in the US, and has been released under house arrest.
May 7, 2019 -
648ChinaGoldman, Gao Hua Securities Agree to $22.3m CSRC Settlement
Goldman Sachs and its Chinese partner Gao Hua Securities have agreed to an administrative settlement of 150 million yuan for internal control breaches.
April 24, 2019 -
912EnforcementGoldman, Credit Suisse Raided in Seoul in Samsung BioLogics Probe
Prosecutors are reportedly looking for information about a scrapped Nasdaq listing of a Samsung BioLogics subsidiary, to shed light on possible accounting irregularities.
April 15, 2019 -
520Enforcement
UK FCA Fines Goldman for MiFID Transaction Reporting Failures
Goldman has been penalised over $44mn for making over 220 million transaction reporting errors over 9.5 years. The fine is larger than UBS received earlier this month.
March 29, 2019 -
940InternationalLeading Dealers Adopt DTCC-Euroclear Collateral Management Utility
The Margin Transit Utility provides straight-through-processing and centralised communications and settlement instructions for collateral transfer.
March 27, 2019
