Search Results for: UK Financial Conduct Authorit
FCA warning of unauthorised firms
March 24th, 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 financial services or products: CFS PLC (www.cfsplc.co.uk) Kevin Edwin Francis Gregory Therefore, FCA points ...
FCA bans and fines trader for manipulating gilt price during QE
March 20th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority has announced that Mark Stevenson, a bond trader with nearly 30 years’ experience, has been banned from the industry and fined £662,700 for deliberately manipulating a UK government bond (gilt) ...
FCA: Wealth Planning Solutions Europe (clone)
March 20th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Wealth Planning Solutions Europe” (wealthplanningsolutions@europe.com) is a clone firm of “Wealth Planning Solutions Europe OY”, and thus, is not permitted to provide financial ...
FCA warning
March 20th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that Axis Capital Limited is not permitted to provide financial services or products. Furthermore, FCA points out that Axis Capital Limited is neither regulated ...
FCA fined Besso Limited
March 19th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption. According to ...
FCA and Bank of England agree Memorandum
March 18th, 2014
The Financial Conduct Authority (FCA) and the Bank of England, including the Prudential Regulation Authority (PRA), have agreed a Memorandum of Understanding (MoU) that sets out how they co-operate with one another in relation to the supervision of markets ...
FCA warning for unauthorised firm
March 18th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Riggs Bank Europe Limited” is not permitted to provide financial services or products. Furthermore, FCA points out that “Riggs Bank Europe Limited” is ...
FCA warning for clone firm
March 17th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Berenberg Private Banking” is a clone firm of the FCA authorised firm “Joh. Berenberg, Gossler & Co. KG” and therefore it is not ...
FCA warning for a clone firm
March 13th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that BlackRock Fund Managers Limited, www.blackrock.co.uk (clone firm is using Authorised Firm’s website) is a clone firm and is not permitted to provide any ...
Warning from FCA of a clone firm (FA International)
March 12th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that FA International (www.fa-international.com) is a clone firm and is not permitted to provide any financial services or products. FCA points out that ...
