Search Results for: Financial Conduct Authority
FCA warning against clone firm
November 10th, 2014
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: BlackRock Wealth Partners / BlackRock Wealth / BlackRock Wealth Group / BlackRock-Wealth SA (clone of FCA authorised firm) Address: One Canada Square, 37th ...
FCA warning against unauthorised firm
November 7th, 2014
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Taito Securities Group“(www.taitosec.com). The warning recommends that the public exercises extreme caution when dealing with this company, since is not permitted to provide any financial services ...
Temporary prohibition of short selling: Portugal Telecom
November 5th, 2014
The Financial Conduct Authority (FCA) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March ...
FCA warning against unauthorised firms
November 5th, 2014
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against Prime Financial Management Services Limited (www.primefms.com), “Wolffe Commodities” (www.wolffecommodities.eu), “Aspen Greene Ltd” (www.aspengreene.com) and The Cash Monkey Ltd (http://www.thecashmonkey.net/) The warning recommends that the public exercises extreme caution ...
FCA warning against clone firm
November 3rd, 2014
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Pritchards Stockbrokers (clone of FCA authorised firm) Address: Roddis House, Old Christchurch Road, Bournemouth, Dorset, BH1 1LG Tel: 01202297035 Fax: 01202555177 ...
HSBC sets aside $378 million for FX probe settlement
November 3rd, 2014
HSBC Holdings (HSBA.L) set aside $378 million to pay a potential fine from the UK regulator for alleged manipulation of currency markets, as Europe’s biggest bank reported a 12 percent fall in underlying earnings after costs rose. HSBC on ...
Citigroup sets aside $600 million more to cover legal costs
October 31st, 2014
Citigroup Inc (C.N) said it was setting aside an extra $600 million to cover legal expenses in the third quarter due to “rapidly evolving regulatory inquiries,” while also disclosing that it was subject to foreign exchange market probes. Citigroup ...
RBS Returns to Profit, Sets Aside $639 Million for FX Probe
October 31st, 2014
Royal Bank of Scotland Group Plc (RBS), Britain’s largest taxpayer-owned lender, had third-quarter profit that beat analyst estimates even as it set aside 400 million pounds ($639 million) for a currency rigging probe. The bank posted net income of ...
FCA warning against clone firms
October 31st, 2014
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: 1) Sapien Capital Limited Website: http://www.sclforex.co.uk/en/ 2) PMG Forex Email: info@pmgwaihui.com, ib@pmgwaihui.com, cs@pmgwaihui.com, account@pmgwaihui, funds@pmgwaihui.com, complaint@pmgwaihui.com Website: http://www.pmgforex.com/english/ 3) Max Forex ...
FCA fines Sesame Ltd for ‘pay-to-play’ arrangements
October 30th, 2014
Sesame Ltd, the UK’s largest network of financial advisers, has been fined £1,598,000 by the Financial Conduct Authority (FCA) for setting up a pay-to-play scheme. Sesame’s arrangement effectively undermined the ban on commission payments brought in by the Retail ...
