UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the company Dawson Roberts Advisors LLC. Dawson Roberts Advisors LLC is not authorised by the FCA but has been targeting people in the UK and is also carrying…
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The Securities and Exchange Commission (SEC) announced that it has charged a New York City man with continuing a previously charged scheme. According to the US regulator, James Siniscalchi, Chief Compliance Officer, at a firm, claiming to have special access to profitable and highly sought-after event tickets, knowingly misused investor money to benefit himself and…
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LeapRate Exclusive... LeapRate has learned that automated regulatory compliance specialist muinmos has been selected to participate in the fifth cohort of the FCA’s Regulatory Sandbox. The Danish RegTech organisation uses Artificial Intelligence (AI) techniques to help financial institutions to categorise and validate regulatory compatibility for a range of financial products and services on a national…
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Deutsche Börse AG has released its first quarter results for 2019. Highlights include: Net revenue of €720.8 million, up 4% YoY (Q1/2018: €691.6 million). Deutsche Börse achieved approximately 5% growth of the secular net revenue, in line with its guidance. Adjusted operating costs of €248.6 million Operating costs were adjusted for non-recurring effects totalling approximately…
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UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the company Walton Securities LLC. Walton Securities LLC is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…
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The Financial Markets Authority (FMA) has just issued a public warning against a scam company called FFS Markets Limited. FFS Markets Limited Associated entities: FFS Markets Limited Trading name: Forex FS Group Website: www.forexfs.cn Phone: +61488892068 Email: [email protected] The regulator notified that it is concerned that Forex FS Group is claiming to be licensed or…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Loanski Finance Limited. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their tactics…
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The Autorité des marchés financiers (AMF) has announced that it has granted the French central securities depository, Euroclear France, its CSDR license under European regulation n° 909/2014 on central securities depositories, placing this entity under the European regulatory framework. The regulation (EU) n° 909/2014 of the European Parliament and of the Council of 23 July…
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UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the company Algotechs. Algotechs is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated activities which require authorisation:…
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UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the company OPT Finance. OPT Finance is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated activities which…
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