Category: Regulation

fca warning
June 07, 2017 BY Valentina Kirilova

FCA warns against Hamilton-Scott Holdings Limited firm

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 firm Hamilton-Scott Holdings Limited. Hamilton-Scott Holdings Limited is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…

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asic license cancelled
June 07, 2017 BY Valentina Kirilova

ASIC cancels AFS licence of Investment Advisers Alliance Pty Limited

ASIC announced that has cancelled the Australian financial services (AFS) licence of Sydney based company Investment Advisers Alliance Pty Limited (AFS 237902) for failing to lodge its financial statements and auditor's reports for four consecutive years. ASIC Deputy Chairman Peter Kell said: The annual lodgement of financial statements and auditor's reports is an important part…

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AFM imposes an order for incremental penalty payments on Miscanthus Green Power B.V.
June 07, 2017 BY Valentina Kirilova

AFM suspends trading in Pastor Participaciones Preferentes

The Dutch Authority for the Financial Markets (AFM) just announced that it has given an instruction to suspend trading in Pastor Participaciones Preferentes. Financial instrument: Bond ISIN code: XS0225590362 Reason for suspension: Other disorderly trading conditions Requested by operator of regulated market? No The instruction has been given on 7 june 2017 and is coming into force…

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fca warning
June 07, 2017 BY Valentina Kirilova

FCA warns against Ridge Capital Markets firm

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 firm Ridge Capital Markets. Ridge Capital Markets is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…

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ASIC imposes additional conditions on Kaz Capital's AFS license
June 07, 2017 BY Valentina Kirilova

ASIC cancels a suspended Australian financial services licence of GUM Ltd

ASIC announced that has cancelled the Australian financial services (AFS) licence of Sydney-based Group Underwriters & Managers Pty Ltd (GUM) for failing to lodge financial statements and auditor reports. GUM's AFS license has been suspended since November 2016 for failing to meet its financial services licensee obligations for consecutive years. After not lodging the financial…

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fca warning
June 06, 2017 BY Valentina Kirilova

FCA warns against Pension 2 Cash firm

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 firm Pension 2 Cash. Pension 2 Cash is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…

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fma warns against unregulated company
June 06, 2017 BY Valentina Kirilova

Belize regulator IFSC warns against Samantha Tremblay

Belize financial regulator IFSC (International Financial Services Commission) has issued a warning regarding a person by the name ‘Samantha Tremblay’. According to IFSC, Samantha Tremblay is falsely and fraudulently representing to hold a personal licence issued by the International Financial Services Commission of Belize. The Licence carrying her name is a complete forgery. IFSC confirms…

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clone firm FCA warning
June 06, 2017 BY Valentina Kirilova

FCA warns against Same Day Finance clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Same Day Finance. 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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fca warning
June 06, 2017 BY Valentina Kirilova

FCA warns against Stern Options firm

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 firm Stern Options. Stern Options 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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