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 Sewraj Bayrajee. Sewraj Bayrajee is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated activities which…
Read moreAustralian regulator ASIC has just released its latest report outlining decisions on relief applications, highlighting ASIC’s efforts to reduce red-tape and achieve a practical, positive outcome for companies seeking some regulatory flexibility. The granting of relief which has a net regulatory benefit, or which facilitates business or cuts red tape without harming stakeholders, is an…
Read moreThe UK Financial Conduct Authority (FCA) has put out details of the cloned firm London Investment Management. 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…
Read moreUK 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 SRS Enterprise Limited. SRS Enterprise Limited is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…
Read moreUK 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 Euro Global Markets Limited. Euro Global Markets Limited is not authorised by the FCA but has been targeting people in the UK and is also carrying…
Read moreThe UK Financial Conduct Authority (FCA) has put out details of the cloned firm ADG Placement. 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 to…
Read moreUK 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 Capital City Holdings. Capital City Holdings is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…
Read moreAn ASIC review has found that while registered liquidators are mostly doing the right thing when complying with their lodgement and publication obligations, there is room for improvement. The review looked at around 26,000 insolvency administrations over a 3-year period to June 2017 and tested how registered liquidators complied with their obligations. ASIC found that…
Read moreRSRCHXchange, the marketplace and aggregator for institutional research, has just released headlines from the results of their latest survey on research unbundling which came into effect on January 3rd 2018 across Europe as part of MiFID II. The survey was conducted in Q2 2018 by polling company Survation, who canvassed the views of 418 respondents…
Read moreCappitech, a leading provider of automated regulatory reporting technology for the financial services industry, has announced that it has secured $4 million in series A financing. The financing round was led by venture capital firm 83North (formerly Greylock Israel) with participation from Rony Grushka (pictured above) and Kevin Gould, co-founders of Markit. As part of…
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