Penalties

Search a company by a name to find if they have been penalized for a reason or another. Use the advanced filter to refine the search results according to your needs.
Penalty Information
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Suspension

Title
CySEC suspends AFX Capital Markets Ltd
Reason
Non Compliant
Comment
Non Compliant
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Warning

Title
FCA warns against UK Financial Management Ltd
Reason
Unregulated
Comment
UK Financial Management Ltd has been providing financial services or products in the UK.
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Warning

Title
ASIC cancels the licence of Golden Financial Group Pty Ltd
Reason
Unregulated
Comment
ASIC has cancelled the Australian financial services (AFS) licence of Melbourne based financial services provider, Golden Financial Group Pty Ltd (Golden Financial). The cancellation follows a period of suspension from 18 March 2019. ASIC was concerned that Golden Financial was not complying with its general licensee obligations. Golden Financial failed to lodge its annual financial reports and did not have membership of an external dispute resolution system.
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Warning

Title
FCA warns against BNF Capital Limited (clone of authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.
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Warning

Title
FCA warns against Ralf Werner Tait Capital (clone of FCA authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.
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Warning

Title
FCA warns against The Money Supermarket (clone of authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.
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Warning

Title
FMA (NZ) warns against www.fuerfx.com
Reason
Unregulated
Comment
www.fuerfx.com may be operating a scam. The website www.fuerfx.com is not associated with nor authorised by the New Zealand registered company Fern Group NZ Limited.
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Warning

Title
FCA warns against Globality Wealth (clone of FCA authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.
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Warning

Title
FCA warns against J and E Davy/J&E Davy/Jane Davy (clone of authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.
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Warning

Title
FCA warns against AZR Capital (clone of FCA authorised firm)
Reason
Unregulated
Comment
This firm is not authorised or registered by the FCA.