Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower, said: These whistleblowers provided critical information that alerted Commission staff of the violations. Their information and continuing assistance played a key role in the successful resolution of the actions. So far, the agency has awarded over $937 million to a total of 178 individuals…
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So far, the agency has awarded over $901 million to a total of 163 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…
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Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower said: Whistleblowers play a critical role in an investigation, whether at the outset or during the course of an investigation. Today’s awards demonstrate that whistleblowers with specific, credible information who significantly contribute to the success of an existing investigation may be eligible for an…
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Sheldon Mills, Executive Director of Consumers and Competition at the FCA, commented: The package of measures we are proposing will enhance our existing rules and is designed to tackle the harms we see in financial services markets, and their causes, as well as put consumers in a stronger position to make good decisions. We want…
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So far, the agency has awarded over $842 million to a total of 157 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…
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So far, the agency has awarded over $838 million to a total of 156 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…
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The FCA now proposes to alter current research-related inducement rules in order to broaden the list of "minor non-monetary benefits". This list will be set to include research on SMEs with a market cap of less than £200m, so that the rules will no longer limit it. FICC research, often associated with difficulties in applying…
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The US watchdog found that in April and June last year, Maguire bought shares of two companies in undisclosed accounts after learning important information not yet open to the public. He received internal emails revealing that the research analyst covering those companies was upgrading his recommendation from “Neutral” to “Buy” in upcoming research reports. Maguire…
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Unauthorised firm - Global Blockchain Protection Association Address: Salisbury House, 81 High Street, Potters Bar, Herts, UNITED KINGDOM, EN6 5AS Telephone: +3 197010281211 Mobile: 07877198638 Email: [email protected] Savings Solutions Address: 71-75 Shelton Street, London, WC25 9JQ Email: [email protected] Website: https://www.savings-solutions.com/ UK Alliance Bonds Address: 62 Wandsworth Rd, Nine Elms, London, SW8 2FA Website: https://ukalliancebonds.com Unauthorised…
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Mawhinney was found to have engaged in conduct that entailed ‘inherently problematic, risky and fatally flawed’ investment schemes in relation to the IPO Capital, Core Notes, M+ Notes and IPO Wealth Fund products. The court also noted that Mawhinney ‘has expressed no contrition or remorse for the very significant loss of investors’ funds’. Mayfair Wealth…
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