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FCA

jpmorgan

JPMorgan: Feds pursue criminal forex probe

04/11/2014(0)
JPMorgan said it faces a criminal probe of its foreign exchange business and boosted its legal budget by $1.3B. JPMorgan Chase (JPM) disclosed Monday that the New York-based global ... Read More
FCA_regulator

FCA warning against clone firm

03/11/2014(0)
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 ... Read More
FCA_regulator

FCA warning against clone firms

31/10/2014(0)
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, ... Read More
FCA_regulator

FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

30/10/2014(0)
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 ... Read More
FCA_regulator

FCA fines Yorkshire Building Society £4,135,600

29/10/2014(0)
Financial Conduct Authority (FCA) has fined Yorkshire Building Society (YBS) with the amount of £4,135,600 for failings when dealing with its mortgage customers experiencing payment difficulties. Between 1 October 2011 ... Read More
FCA_regulator

FCA warning against unauthorised firms

24/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Crown Capital Management” (www.crowncapitalmanagement.com), and “Burton Capital Partners” (www.burtoncapitalpartners.com, www.bcp.com). The warning recommends that the public ... Read More
FCA_regulator

FCA bans Paul Reynolds and fines him £290,344

24/10/2014(0)
The Financial Conduct Authority (FCA) has published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds). The FCA has decided to fine Mr Reynolds £290,344 and ... Read More
FCA_regulator

FCA warning against clone firms

21/10/2014(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Boiler Room Name: Schwarz Oliver Thomas Address: 6923 Lauterach, Dammstrabe 4, ... Read More
FCA_regulator

FCA warning against unauthorised firm

20/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Gilmoore Financial” (www.gilmoore-finance.com). The warning recommends that the public exercises extreme caution when dealing with this ... Read More
onestopbrokers-Regulators

FCA warning against unauthorised firm

17/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “AVA Capital Management” (www.avacapitalmanagement.com). The warning recommends that the public exercises extreme caution when dealing with ... Read More
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