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Financial Conduct Authority
Jan 292 min read
FCA issues first fine for transaction reporting failures under MiFIR
Infinox Capital Limited (Infinox) has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports which risked market...
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US Department of Justice
Jan 176 min read
Lead Defendants of Prolific Human Smuggling and Money Laundering Network Sentenced in Joint Task Force Alpha Investigation
Ordered to Pay Over $2.3M in Money Judgments A Texas woman and man were sentenced to 121 months and 135 months in prison and ordered to...
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Financial Conduct Authority
Jan 103 min read
FCA fines Arian Financial LLP £288,962.53 for failings relating to cum-ex trading
The FCA has fined Arian Financial LLP (Arian) £288,962.53 for failing to ensure it had effective systems and controls against financial...
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