The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Loans Factor. 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…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…
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Securities Commission Malaysia (SC) today brought into effect a new guideline to allow the regulated short selling of corporate bonds in the Malaysian capital market. With the new Guidelines on Regulated Short Selling of Corporate Bonds (Guidelines), Principal Dealers are now permitted to conduct regulated short selling of corporate bonds, expanding the range of bonds…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Forest Finance / Forest Finance Team / Forest Finance Services Ltd. 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…
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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 firm Carmine Hoffman Law Firm LLP. Carmine Hoffman Law Firm LLP is not authorised by the FCA but has been targeting people in the UK and is…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) welcomed the re-appointment by the Financial Secretary of Mr Albert Au Siu-cheung as a Non-Executive Director for a term of two years with effect from 26 May 2017. Mr Au was first appointed as a Non-Executive Director of the SFC on 26 May 2015. SFC’s…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…
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The Investor Advisory Panel today released its 2016 Annual Report summarizing its recommendations, activities, submissions, consultations, and meetings during the calendar year. In 2016, the Panel focused on five critical areas of investor protection: conflicts of interest and conflicted compensation, the need for a best interest standard, risk profiling, the Ombudsman for Banking Services and…
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U.S. Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo today announced that N. Charles “Charlie” Thornton III has been named the Commission’s Director of the Office of Legislative Affairs. Mr. Thornton comes to the CFTC from the United States Senate Agriculture, Nutrition, and Forestry Committee where he served as Senior Professional Staff and Counsel.…
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