Search Results for: UK Financial Conduct Authorit
FCA warning against unauthorised firm
May 13th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “Nasacrown Credit Union Ltd” is not permitted to provide financial services or products. Furthermore, FCA points out that “Nasacrown Credit Union Ltd” is ...
FCA warning against unauthorised firms
May 9th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services or products: Best UK Loans (www.bestukloans.co.uk / www.bestukloans.com) City Financial ...
FCA warning for clone firm
May 8th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “BNY Mellon Wealth Management” is a clone firm thus is not permitted to provide any financial services or products. Furthermore, FCA points ...
FCA warning against unauthorised firms
May 8th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services or products: TBR Assured Limited t/a Personal Touch Insurance QuickCash (www.quickcash.co.uk) ...
FCA warning against unauthorised firms
May 5th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services or products: Krono Partners plc (www.propertybondinvestor.com) Skylade Insurance Services (http://www.skylade.com) ...
FCA warning against unauthorised firm
April 30th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that Euro Solution Ltd is not permitted to provide any financial services or products. Furthermore, FCA points out that Euro Solution Ltd is ...
FCA fines fund manager for investors exposure
April 29th, 2014
The Financial Conduct Authority (FCA), the British regulatory authority, has fined Invesco Asset Management Limited and Invesco Fund Managers Limited (Invesco Perpetual) £18,643,000 for exposing investors to greater levels of risk than they had been led to expect. Between ...
FCA warning against clone firm
April 29th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that State Street Bank Global Markets International Limited, State Street Global Advisors and other State Street Group firms (http://www.ssgahk.com, http://www.ssgahk.net, http://www.daofu5.com, http://www.daofu100.com, ...
Invesco Fined, EU Stress Test, Libor Charges: Compliance
April 29th, 2014
Invesco Perpetual (IPE) was fined 18.6 million pounds ($31.3 million) for failing to comply with risk limits or tell clients about the use of derivatives as leverage in their funds. Invesco Perpetual, the largest retail investment manager in the ...
SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay
April 28th, 2014
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping friends and relatives with confidential information about the pending deal ...
