SEC awards whistleblowers more than $1.1 million LeapRate

January 11, 2021 BY Steffy Bogdanova

SEC awards whistleblowers more than $1.1 million

The SEC also awarded over $100,000 to a whistleblower whose independent analysis led to a successful enforcement action. Among other things, the whistleblower conducted an analysis using information from publicly available documents to calculate an estimate of an important metric for a company, and then showed that the company's disclosures regarding that metric were implausible.…

January 06, 2021 BY Steffy Bogdanova

UK Bond Associates, British Telecom Bond and others added to FCA's warning list

UK Bond Associates Address: Plantation Place, Billingsgate London Website: www.ukbondassociates.com British Telecom Bond / britishtelecombond.com (Clone of FCA authorised firm) Email: [email protected] Website: www.britishtelecombond.com LBLV Address: Suite C, Orion Complex, Palm Street, Victoria, Mahe, Seychelles. Email Address: [email protected] Phone number: +18886041711 Website: https://lblv.com Instagram: @lblvonline Facebook: @lblvonline Aone Credit Address: 20 Buchanan St, Glasgow, G1…

December 30, 2020 BY Steffy Bogdanova

Compare UK Bonds, Heronsgate Capital Limited and others added to FCA's warning list

Compare UK Bonds / compare-uk-bonds Address: 12 Constance St, London E16 2DQ Telephone: 0203 991 9738 Email: [email protected] Website: www.compare-uk-bonds.co.uk Heronsgate Capital Limited (Clone of FCA authorised firm) Tel: +1 (305) 998-6062 Email: [email protected] Website: www.heronsgatecapltd.com Full Funding Circle / Fullfunding Circle (clone of FCA authorised firm) Tel: 08452200369 Email: [email protected] Website: www.fullfunding-circle.com Guardian Bonds…

December 22, 2020 BY Steffy Bogdanova

MIR Capital S.C.A, Lombard London and others added to FCA's warning list

MIR Capital S.C.A Addresses: One Canada Square, Canary Wharf, London, United Kingdom E14 5AB; Luxembourg Office (Headquarters), 19-21 boulevard du Prince Henri, Luxembourg L-1724 TelePhone: +44 20 71839831, +44 20 7183 9851, +352 20 88 27 72 Email: [email protected], [email protected], [email protected], [email protected], [email protected], [email protected] Website: https://www.mircapitalsca.com/ Lombard London / Lombard AM (Clone of FCA authorised…

December 21, 2020 BY Steffy Bogdanova

SEC awards whistleblowers more than $3.6 million

Jane Norberg, Chief of the SEC’s Office of the Whistleblower said: Today's three awards demonstrate the SEC's continuing commitment to making awards to individuals who provide high-quality information that assists the agency in bringing successful enforcement actions. These awards also show that the Commission will take into account the unique facts and circumstances of each…

December 21, 2020 BY Steffy Bogdanova

Hong Kong SFC introduces new electronic licensing services

The new online features include web-based licensing forms with auto-fill and skip logic features and pre-set validation rules to reduce errors. The features also support electronic. Upgraded administration functions will allow separate accounts for licensees and their professional advisory firms, giving them more flexibility in how they handle licensing matters and manage submissions. Ashley Alder,…

December 16, 2020 BY Steffy Bogdanova

Duli Finance Advisory, Stock Market Investments and others added to FCA's warning list

Duli Finance Advisory Address: London, England DA161PT, GB Telephone: +44 074 800 64 181 Email: [email protected] Website: https://www.dulifinanceadvisory.com Stock Market Investments Address: 32 London Bridge St, London SE1 9SG, United Kingdom Telephone: +442080899744 Email: [email protected] Website: https://stockmarketinvestments.org Coinsoft Address: VC Management LLC, First Floor, St Vincent Bank Ltd Building, James Street, PO Box 1574, Kingstown,…

December 15, 2020 BY Steffy Bogdanova

SEC awards whistleblower with $300K

So far, the agency has awarded over $731 million to total of 124 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible for…

December 11, 2020 BY Steffy Bogdanova

J's World, Team PLTNM and others added to FCA's warning list

J's World / JS World / Jake's Forex / Jake Watson / JSWorld Telephone: 02034887301 / 07724244844 Email: [email protected] / [email protected] / [email protected] / [email protected] Twitter and Instagram: @jsworlduk Website: www.jsworld.co.uk Team PLTNM Email: [email protected]; [email protected] Instagram: @teampltnm Website: https://teampltnm.com Invest 4 Now Email: [email protected] Website: www.invest4now.com Search UK Bonds Websites: www.search-ukbonds.com ; www.searchukbonds.com Address:…

FCA bans sale of crypto-derivatives to retail consumers

December 10, 2020 BY Steffy Bogdanova

The FCA makes speculative mini-bond mass-marketing ban permanent

Sheldon Mills, Interim Executive Director of Strategy and Competition at the FCA commented: We’ve today confirmed our proposals to make the speculative mini-bond ban permanent and extend its scope. These products are high risk and are often designed to be hard to understand. Consumers should always be wary of any investment promising high returns while…

Category: Regulation