Search Results for: warning notice
ASIC: ICAP Futures (Australia) Pty Ltd pays $50,000 infringement notice penalty
May 14th, 2015
ICAP Futures (Australia) Pty Ltd (ICAP)has paid a total penalty of$50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP found it had reason to believe that ICAP had contravened section 798H(1) ...
Merrill Lynch Equities (Australia) Limited pays $65,000 infringement notice penalty
June 10th, 2014
The Australian Securities and Investments Commission (ASIC) has imposed the penalty of $65,000 to Merrill Lynch Equities (Australia) Limited (Merrill Lynch) in order to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was for ...
FCA fines and bans former RBS trader
January 9th, 2018
The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated financial activity. ...
Solicitors in UK warned to watched their tweets and email language
August 24th, 2017
The Solicitors Regulation Authority (SRA), a regulator body within the legal profession in UK, has issued today a press release to warn solicitors about offensive communications. According the release: Solicitors should take care to make sure that communication is ...
OptionRally lost IFSC license
May 4th, 2017
The International Financial Services Commission of Belize (IFSC) has issued a warning notice to announce that TCM Investments Ltd. of domain name, OptionRally with its registered office at Suite 508, Marina Towers, Newtown Barracks, Belize City, Belize, Belize, C.A., ...
FCA and PRA publish final changes to enhance enforcement decision-making processes
February 1st, 2017
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes. The consultation and policy recommendations covered ...
Solicitors fined and suspended over role in investment scheme
December 28th, 2016
Three solicitors who became embroiled in a investment scheme in which there was a ‘significant risk of conflict’ have been suspended and ordered to pay more than £60,000 in costs. Michael John Davies, Clare Louise Taman and Charles Valentine Fraser-Macnamara ...
BHS owner arrested
November 14th, 2016
Dominic Chappell, the businessman Sir Philip Green sold BHS to for £1, has been arrested for unpaid taxes. It has been reported that HMRC officers arrested Mr Chappell at his home in Dorset over the weekend. His personal company, ...
ASIC permanently bans former financial adviser
October 31st, 2016
ASIC has permanently banned former NSW financial adviser Mr Ashley Grant Howard from providing financial services after an investigation found he had: engaged in dishonest conduct; held out that trading he was conducting was authorised; provided financial services when ...
IFSC warns for TRADE24 Investments
June 14th, 2016
WARNING NOTICE TRADE24 Investments Ltd. It has come to the notice of the International Financial Services Commission of Belize (IFSC) that an entity calling itself‘TRADE24 Investments Ltd.’ is fraudulently claiming to hold a trading in financial and commodity-based derivative instruments ...
