Asia-pacific firms saw the biggest rise in penalties imposed ... actions, with financial institutions often looking to quickly settle their fines with regulators ahead of year-end reporting. Tracy ...

At times, this can mean levying uncharacteristically large penalties, such as the ones that India’s regulatory agency imposed on a handful of commercial banks in 2013. Do such actions give depositors ...

Edward Jones, LPL Financial, RBC Capital Markets, Stifel and TD Ameritrade to pay $19M over claims of excessive commissions ...

For Wells Fargo, nearly a decade’s worth of scandals, federal regulatory action and a $1.95 trillion asset cap limiting the ...

As of Q1 2025, global penalties for crypto transaction non-compliance have already reached $1.3 billion, putting the year on ...

Combined financial ... the penalties follow examinations that revealed the two branches failed to comply with the UAE’s AML legal framework and related regulatory requirements.

The Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (ADGM) imposed penalties totalling AED610,000 on 23 entities for contraventions of the Common Reporting Standard ...