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FINRA fines Digital Transaction Clearing for violating registration necessities

Digital Transaction Clearing, Inc. has agreed to pay a high quality of $100,000 for violations of FINRA registration necessities. Between Might 2017 and December 2021, the agency permitted eight people…

bayu October 24, 2023

Forex

HSBC Securities will get a slap on the wrist for violating CME recordkeeping necessities

Worldwide derivatives market CME Group has issued a discover of abstract motion as to HSBC Securities (USA) Inc. Pursuant to the outcomes of a again workplace CTR examination for commerce…

bayu August 11, 2023

Forex

CME fines dealer for violating wash trades prohibition

Worldwide derivatives market CME Group has imposed a high-quality of $15,000 on Lewis Langston for violating wash merchants prohibition. Pursuant to a proposal of settlement through which Lewis Langston neither…

bayu July 28, 2023

Forex

Tullett Prebon (Europe) to pay $150,000 high quality for violating NYMEX guidelines

CME Group has printed a discover of disciplinary motion towards Tullett Prebon (Europe) Ltd. Pursuant to a suggestion of settlement wherein Tullett Prebon (Europe) Ltd. neither admitted nor denied the…

bayu May 26, 2023

Forex

StoneX Monetary will get a slap on the wrist for violating CME guidelines

StoneX Monetary Inc should pay a tremendous for violating CME guidelines regarding reporting of huge positions. The related discover of abstract motion was posted immediately by CME. In the course…

bayu May 3, 2023