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Learn from the latest headlines and protect your company today

EY fined record $100M for employee cheating scandal
Uyghur Forced Labor Prevention Act should prompt due diligence reassessment
Credit Suisse money laundering verdict start of new era of Swiss enforcement?
UBS to pay $25M over ‘inadequate’ training, oversight in SEC fraud case

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All Citigroup Global Markets articles

Article
Citibank affiliates fined $4.5M for deleting subpoenaed audio files

2020-09-29T15:24:00Z

Three Citibank affiliates have been collectively ordered to pay $4.5 million to settle CFTC charges regarding supervision failures that led to the deletion of subpoenaed audio files.
Blog post
FINRA sanctions Citigroup Global Markets $11.5M for inaccurate research ratings

2018-01-05T10:30:00Z

The Financial Industry Regulatory Authority has fined Citigroup Global Markets $5.5 million and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities during a nearly five-year period, and for related supervisory violations.

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Learn from the latest headlines and protect your company today

All Citigroup Global Markets articles

Citibank affiliates fined $4.5M for deleting subpoenaed audio files

FINRA sanctions Citigroup Global Markets $11.5M for inaccurate research ratings