Fine
Hong Kong regulator issues HK$6.4m fine to asset manager
Over its control failures in solicitation and recommendation of bonds
Dubai watchdog fines two firms and three directors
But they will contest the prohibition orders and penalties at a tribunal
Guernsey regulator fines wealth company directors £60,000
Company was promoting and advising clients on structured notes which was outside its licence
Dubai regulator fines firm $600,000 for illegal activities
It provided physical cash to its clients and breached anti-money laundering rules
US regulator settles charges with advice firms
Over $139m sent back to investors since start of its self-reporting initiative