CS&C’s general pool held firm and client money for both UK and non-UK clients. The FCA determined that the CSUK failed to arrange adequate protection for its clients’ assets under UK rules including: The firm did not have the right records and accounts to identify its customers’ client assets The firm did not undertake internal…
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Jane Norberg, Chief of the SEC’s Office of the Whistleblower said: Today's three awards demonstrate the SEC's continuing commitment to making awards to individuals who provide high-quality information that assists the agency in bringing successful enforcement actions. These awards also show that the Commission will take into account the unique facts and circumstances of each…
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The new online features include web-based licensing forms with auto-fill and skip logic features and pre-set validation rules to reduce errors. The features also support electronic. Upgraded administration functions will allow separate accounts for licensees and their professional advisory firms, giving them more flexibility in how they handle licensing matters and manage submissions. Ashley Alder,…
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Stephanie Avakian, Director of the SEC’s Enforcement Division, commented: Robinhood provided misleading information to customers about the true costs of choosing to trade with the firm. Brokerage firms cannot mislead customers about order execution quality. Joseph Sansone, Chief of the SEC Enforcement Division’s Market Abuse Unit, added: Robinhood failed to seek to obtain the best…
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Duli Finance Advisory Address: London, England DA161PT, GB Telephone: +44 074 800 64 181 Email: [email protected] Website: https://www.dulifinanceadvisory.com Stock Market Investments Address: 32 London Bridge St, London SE1 9SG, United Kingdom Telephone: +442080899744 Email: [email protected] Website: https://stockmarketinvestments.org Coinsoft Address: VC Management LLC, First Floor, St Vincent Bank Ltd Building, James Street, PO Box 1574, Kingstown,…
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The FCA stated that between April 2014 and December 2018 some retail and small business customers who had been offered consumer credit were treated poorly when they fell into debt. The regulator found that Barclays failed to treat customers fairly or to act with due skill, care and diligence. According to the FCA, Barclays failed…
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So far, the agency has awarded over $731 million to total of 124 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible for…
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The CFTC also found that TFS-ICAP, its former CEO Ian Dibb and its former Emerging Markets desks head Jeremy Woolfenden failed to supervise the broker conduct. The enforcement action resolves that the defendants Dibb and Woolfenden are each to pay a fine of $500,000 for their individual supervisory failures. They have both agreed to not…
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CBOT stated: The transfers were not made to reconcile an error, omission, or outtrade. CBOT also noted that StoneX has self-reported the transfers, however it had neither admitted nor denied the allegations. LeapRate recently reported that StoneX, formerly known as INTL FCStone, registered excellent financials for the fourth quarter of the fiscal year 2020. The…
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J's World / JS World / Jake's Forex / Jake Watson / JSWorld Telephone: 02034887301 / 07724244844 Email: [email protected] / [email protected] / [email protected] / [email protected] Twitter and Instagram: @jsworlduk Website: www.jsworld.co.uk Team PLTNM Email: [email protected]; [email protected] Instagram: @teampltnm Website: https://teampltnm.com Invest 4 Now Email: [email protected] Website: www.invest4now.com Search UK Bonds Websites: www.search-ukbonds.com ; www.searchukbonds.com Address:…
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