The US regulator also discovered that VFA did not disclose conflict of interest concerning millions of dollars of financial benefits that it received directly from advisory client mutual fund investments that were generally more expensive for clients than other mutual fund investment options available to clients. VFA agreed to pay $40 million to settle these…
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Whistleblower Office Director Christopher Ehrman added: Whistleblowers like the individual receiving the award today provide a valuable public service. We encourage others to come forward with information regarding possible violations in the markets the CFTC oversees. So far, the US watchdog has awarded around $120 million to whistleblowers for their help since the first award…
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Comyn added: We’re also delighted to welcome Square Peg and Zetta as strategic partners and look forward to working with them to bring new solutions to our customers, harnessing the latest technologies, artificial intelligence, and machine learning models. Venture capital fund Square Peg has backed a range of successful Australian ventures and will partner with…
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Pure-Bonds Address: 58 Stamford Street, South Bank, SE1 9PS Website: www.pure-bonds.com SCK Securities Addresses: 1 Union Wynd, Aberdeen, AB10 1SL The Silver Fin Building, 455 Union Street, Aberdeen, B11 6DB 7 Queens Gardens, Aberdeen, AB15 4YD Citi Group Tower, 33 Canada Square, Canary Wharf, E14 5LB Nexxus Building, Level 15&16, 41 Connaught Road, Central Hong…
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AMF added the following websites to its blacklist: www.createcapitalinvest.com www.sudfactoring.com/ sigmabunq.com/ cashflash.io/?lang=fr xoxa-ca.com faralloninvestments.com cabinetdominiquesans.com one-parking.co.uk www.inmaxxa-bv.com https://compagnie-europeenne-de-courtage-investissement.com https://lecoindubtc.com https://www.etris-consultant.com https://etris-patrimoine.com https://www.exception-capital.com https://octogroupe.com www.apera-management.com dma-finance.com 24primeoption.com www.ifpmarkets.com www.group-indigo-parking.com/client www.hydepark.fr www.gemicpl.com https://online-union.com www.vantagetrades.com Read More: AMF issues warning on websites fortiscapitalmanagers.com, wavetomarkets.com and others French AMF warns against several companies French AMF warns against the entity…
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Jonathan Davidson, Executive Director of Supervision, Retail and Authorisations, said: The Financial Services Register is an important tool for both the consumers and firms who use it. These changes will make it easier for users to navigate and understand the Register, and in doing so, help them avoid financial harm such as scams by unauthorised…
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The court discovered that in January 2013 BCM presented itself as a finance services company and advised on listing application, by entering into an Advisor Engagement Agreement while being unlicensed. The Hong Kong court also found that Law Sai Hung assisted and counselled in the licensing violations in his capacity as a director. Read More:…
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Roberts added: The listings today will complement our widening array of A-share products in Hong Kong, and underpins our strategic commitment to continue to develop Hong Kong as Asia’s ETF marketplace. Product development in Hong Kong’s Exchange Traded Products (ETPs) market, including Exchange Traded Funds (ETFs) and L&I Products, has started a chapter this year,…
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Kelly L. Gibson, Director of the SEC’s Philadelphia Regional Office commented: As alleged in our complaint, Boice and Trustify lied to investors about their failing business to give the appearance of a thriving technology startup, while misappropriating investor funds to support an extravagant lifestyle. The scheme resulted in millions of dollars in investors losses, and…
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Shanghai Industrial Investment (Holdings) Corporation Ltd. (Inclusive Trading) is allegedly offers different investment plans for clients to trade Bitcoin. The company operates through website http://www.inclusivetrading.biz and is not registered to trade in BC. Fox-Trade.uk Ltd (Fox-Trade) claims to be based in the UK. and operates through website http://www.fox-trade.uk. The company is not registered to trade in…
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