Category: Regulation

FCA warning
January 20, 2021 BY Steffy Bogdanova

BetterFixedSavings, Mizuho International and others added to FCA's warning list

BetterFixedSavings Address: Regus Offices, 68 King William Street London EC4N 7DZ Email: [email protected] Website: betterfixedsavings.com Mizuho International (clone of FCA authorised firm) Telephone: 02037452797 Email: [email protected] Personal Financial Solutions / personalfinancialsolution.co.uk (clone of appointed representative firm) Telephone: 02038856334, 01945339921 Email: [email protected] Website: www.personalfinancialsolution.co.uk Yungshiu International Financial Holdings (UK) Co Ltd (clone of FCA authorised firm) Address: 18th Floor, 60 Wyndham Street, Central, Hong Kong…

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Whistleblower
January 15, 2021 BY Steffy Bogdanova

SEC awards almost $600K to a whistleblower

So far, the agency has awarded over $738 million to total of 134 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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FCA warning
January 14, 2021 BY Steffy Bogdanova

Finansa, Quantum Code and others added to FCA's warning list

Finansa Address: Suite 305, Griffith Corporate Centre, P.O. Box 1510, Beachmont, Kingstown, St. Vincent and the Grenadine Telephone: +442-080-976-000; +442-080-970-364; +442-080-970-365; 02036953556; 02036953558; 01513080053; 01513080054; 03309084059; 03703339091; 07537150345; 03454019139; 07537151388 Email: [email protected]; [email protected]; [email protected]; [email protected]; [email protected] Website: https://finansa.io/ Quantum Code (Clone of FCA authorised firm) Website: http://qcdaff.qcode.buzz RFX Capital (clone of an FCA authorised firm) Address: 125 Old Broad Street, London Telephone: +44 203 6953487…

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ASIC, AFS licence
January 12, 2021 BY Steffy Bogdanova

ASIC cancels Halifax Investment Services’ AFS licence

On 8 January 2019 the Australian watchdog suspended the Halifax AFS licence until 10 January 2020. The suspension followed the appointment of Morgan Kelly, Stewart McCallum and Phil Quinlan of Ferrier Hodgson as joint voluntary administrators of Halifax on 23 November 2018. On 20 March 2019 at the second creditors meeting it was decided to…

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Whistleblower
January 11, 2021 BY Steffy Bogdanova

SEC awards whistleblowers more than $1.1 million

The SEC also awarded over $100,000 to a whistleblower whose independent analysis led to a successful enforcement action. Among other things, the whistleblower conducted an analysis using information from publicly available documents to calculate an estimate of an important metric for a company, and then showed that the company's disclosures regarding that metric were implausible.…

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FCA warning
January 06, 2021 BY Steffy Bogdanova

UK Bond Associates, British Telecom Bond and others added to FCA's warning list

UK Bond Associates Address: Plantation Place, Billingsgate London Website: www.ukbondassociates.com British Telecom Bond / britishtelecombond.com (Clone of FCA authorised firm) Email: [email protected] Website: www.britishtelecombond.com LBLV Address: Suite C, Orion Complex, Palm Street, Victoria, Mahe, Seychelles. Email Address: [email protected] Phone number: +18886041711 Website: https://lblv.com Instagram: @lblvonline Facebook: @lblvonline Aone Credit Address: 20 Buchanan St, Glasgow, G1…

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FCA warning
December 30, 2020 BY Steffy Bogdanova

Compare UK Bonds, Heronsgate Capital Limited and others added to FCA's warning list

Compare UK Bonds / compare-uk-bonds Address: 12 Constance St, London E16 2DQ Telephone: 0203 991 9738 Email: [email protected] Website: www.compare-uk-bonds.co.uk Heronsgate Capital Limited (Clone of FCA authorised firm) Tel: +1 (305) 998-6062 Email: [email protected] Website: www.heronsgatecapltd.com Full Funding Circle / Fullfunding Circle (clone of FCA authorised firm) Tel: 08452200369 Email: [email protected] Website: www.fullfunding-circle.com Guardian Bonds…

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FCA warning
December 22, 2020 BY Steffy Bogdanova

MIR Capital S.C.A, Lombard London and others added to FCA's warning list

MIR Capital S.C.A Addresses: One Canada Square, Canary Wharf, London, United Kingdom E14 5AB; Luxembourg Office (Headquarters), 19-21 boulevard du Prince Henri, Luxembourg L-1724 TelePhone: +44 20 71839831, +44 20 7183 9851, +352 20 88 27 72 Email: [email protected], [email protected], [email protected], [email protected], [email protected], [email protected] Website: https://www.mircapitalsca.com/ Lombard London / Lombard AM (Clone of FCA authorised…

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Whistleblower
December 21, 2020 BY Steffy Bogdanova

SEC awards whistleblowers more than $3.6 million

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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December 21, 2020 BY Steffy Bogdanova

Hong Kong SFC introduces new electronic licensing services

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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