Being engaged in abusive margin, liquidation and price slippage
Accepting US Clients
Weaknesses in the application of the Investment Services and Activities and Regulated Markets Law of 2007
Providing Investment Services on professional basis in the Republic without holding the CIF licence
EURO 50000 - Weaknesses in the application of the Investment Services and Activities and Regulated Markets Law of 2007
Is not permitted to provide investment and ancillary services in the Republic, & not regulated by the commission
Committing possible violations of the Investment Services and Activities and Regarded Markets Law of 2007
Providing Investment Services on professional basis in the Republic without holding the CIF Authorization
Failing to have in place adequate anti-money laundering systems and controls
Violation of several NFA requirements
Non-complience with certain directives and articles
Violating the Investment Services and Activities and Regulated Markets Law of 2007
Failing to show the appropriate risk warning to clients
Administrative Fine
Unfair treatment of customers, and failing to be open and co-operative in the trading firms sector
For conducting business with an unregistered entity and failing to submit trade data to NFA
For retaining gains derived from asymmetrical positive price slippage
For using deficient promotional material
Inadequate anti-money laundering program and failure to supervise
Breach of Investment Services Rules for Investment Services Providers
Using asymmetrical price slippage settings that favored FXDD over its customers
Supervision Failures Relating to Trading Platform
Violating Minimum Financial Requirements and a Prior CFTC Order
Violating Minimum Financial Requirement Rules
Omitting to submit the report of the external auditors as publicly available information related to their capital for the 2008
Omitting to submit the audited financial statements
Failed to secure that it's advertisement meet all the required terms
Failed to submit to the SEC the report for the suitability of it's regulations for it's customers assets
illegally solicited members of the public to engage in foreign currency (forex) transactions without being registered with the CFTC
Transaction Reporting Failure
Not holding the NBS licence in order to offer the investing services in Slovak Republic
Not regulated by ASIC nor licensed to trade in margin FX in Australia
Selling securities or offering investment advice in Ontario without being registered in Ontario
It was not a member of the approved dispute resolution scheme operated by FIDReC for the period between 11 September 2009 and 7 September 2011
Renouncing the Autorization
Failing to meet the regulators minimal financial requirement rules
Failure to comply with minimum financial requirements for FCMs and RFEDs between the period of December 2010 and November 2012
Advertisment missing Risk Disclosure
Large trader reporting and supervision violations
Conducting futures business with non-NFA Members and allowing an introducing broker to act as a de facto FCM
non-compliance with Regulation
Misshandeling Clients Funds
violations of the Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
violations of the Transparency
non compliance with regulation
Continuance of suspension and commencement of proceedings for the possible withdrawal of a CIF license
Suspicions of an Alleged Violation
Continuance of suspension of CIF license The Investment Services and Activities and Regulated Markets Law of 2007
Continuance of Suspension and commencement of proceedings for the possible withdrawal of the CIF license
non-Compliance from regulation
Continuance of suspension of CIF license
Suspicions for an Alleged Violation
Continuance of suspension of CIF license suspicions for an alleged violation
Suspension of CIF license the Investment Services and Activities and Regulated Markets Law of 2007
Continuance of Suspension of CIF license the Investment Services and Activities and Regulated Markets Law
Provide false information in relation to the Company’s bank accounts Balances
Continuance of Suspension of CIF licence the Investment Services and Activities and Regulated Markets Law
Impose administrative fine for Violation
Suspension of CIF licence suspicions of an alleged violation
suspicion of possible violations of the Investment Services and Activities and Regulat ed Markets Law of 2007
wholly withdraw the Cyprus Investment Firm authorization with number 239/14
wholly withdraw the Cyprus Investment Firm authorization with number 151/11
violation of the provisions of CySEC’s supervised legislation.
Continuance of Suspension of CIF licence pursuant to section 26(4) (b ) of the Investment Services and Activities and Regulated Markets Law
Withdrawal of suspension of CIF authorisation
Suspicions for an alleged violation of section 28(1) of the Law
alleged violation of section 28(1) of the Law
Withdrawal of suspension of CIF licence
suspicions for an alleged violation of section 6(9) of the Law
violating sections 75(2) and 139(2) of the Investment Services and Activities and Regulated Markets Law of 2007
impose administrativ e fine for Violation
continuous to be suspended, pursuant to section 26(4) (b ) of the Investment Services and Activities and Regulated Markets Law
suspicions of an alleged violation of section 28(1) of the Law
impose administrative fine for violation
violating Article 26 (5) of the Investment Services and Activities and Regulated Markets Law of 2007
for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved Persons
makes an order prohibiting
a restriction in terms that for a period of 168 days from the date of this Final Notice
Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for Businesse
impose on Miss Parry, pursuant to section 66 of the Act and section 56
Agreed to settle at an early stage of the Authority’s investigation. Cenkos therefore qualified for a 30% (Stage 1 ) discount under the Authority’s executive settlement procedures.
agreed to settle at an early stage of the Authority’s investigation.Mr Breeze therefore qualified for a 30% (stage 1) discount under the Authority’s executive settlement procedures. Were it not for this discount.
Breaches of Statement of Principle 6 whilst performing the significant influence controlled function of CF1 (Director)
Due to significant systems and control weaknesses went undetected for several years
Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI complaints.
engaging in market abuse (insider dealing)
imposes on Mr Joint pursuant to section 66 of the Act
failure to comply with Statement of Principles 1 and 6 of the Authority’s Statements of Principle for Approved Persons
Pursuant to section 206 and 206A of the Act a financial penalty
pursuant to section 66 of the Financial Services and Markets Act 2000 (the ‘Act’)
Financial penalty pursuant to section 63A(1) of the Act
For breaching section 63A of the Financial Services and Markets Act 2000 and FIT
For breaching Statement of Principle 1,4 and 7. Also breaching FIT and certain applicable rules set out by CASS
For breaching Statement of Principle 6, FIT and certain applicable rules set out in CASS
For breaching Statement of Principle 6, FIT
For breaching Statement of Principle 6 and certain applicable rules set out by ICOBS
For breaching Principle 11
For breaching Principles 1, 3 and 10 and certain applicable rules set out in CASS and COND
For breaching Statement of Principle 2 and 7.
For breaching Principles 3 and 11
For breaching Statement of Principle 6.
For breaching Principle 2.
For breaching Principle 1 of the Statement of Principle and Code of Practice for Approved Persons.
For breaching Statement of Principle 6 of the Authority's Statements of Principle for Approved Persons.
For breaching Principle 6.
For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons.
For breaching Statement of Principle 1
For breaching Statement of Principle 7
For committing market abuse under s118(5) FSMA.
For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.
For breaching Principle 6 of the Authority's Principles for Businesses.
For breaching Principle 3 of the Authority's Principles for Businesses.
For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses.
For breaching Principle 3 and 7
For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions.
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
For breaching Principle 6 of the Authority's Principles.
For breaching Statements of Principle for Approved Persons 1 and 7
For breaching Statements of Principle for Approved Persons 1 and 7.
For behaviour amounting to market abuse in breach of section 118(2) of the act
For breaching Statement of Principle 1 of the Authority's Statement of Principles for Approved Persons.
For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons.
For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules.
For breaching Statement of Principle 7.
For breaching Statement of Principle 6 and 7.
For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.
For breaches of the listing rules in relation to sponsors.
For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").
For breaches of Principles 3 and 7, SYSC 3.2.6R and Certain applicable rules set out in COB and COBS.
For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 spot FX voice trading in London.
For failing to comply with Statement of Principle 6 and Statement of Principle 7 of the Authority's Statement of Principle for Approved Persons.
For failing to comply with Statement of Principle 6 of the Authority's Statement of Principle for Approved Persons.
For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 during the relevant period complied with the relevant requirements and standards of the regulator
For failure to manage conflicts of interest.
For serious failings in the treatment of mortgage customers facing payment difficulties.
For serious failings in relation to the protection of client money.
For failing to properly protect clients’ safe custody assets worth £16.5 billion.
For failing to act with honesty and integrity and exposing clients to excessive risk of financial loss.
For failing to act with honesty and integrity in performing the significant influence function.
For serious failings in their advised mortgage business.
For failing to accurately report all the CFD Equity Swaps.
In relation to sales of accident insurance products.
For serious misconduct relating to the Special Liquidity Scheme (SLS), the Repo Rate benchmark and the London Interbank Offered Rate (LIBOR).
For engaging in two instances of market abuse by disclosing inside information other than in the proper course of his employment in two emails dated 9 September and 8 October 2008.
For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.
For failing to ensure financial promotions for the Cliquet Product distributed by YBS, were clear, fair and not misleading.
For failing to adequately manage conflicts of interest between itself and its customers as well as systems and controls failings, in relation to the Gold Fixing.
For failing to observe proper standards of market conduct and failing to act with integrity by placing orders to seek to influence the Gold Fixing and for failing to act with integrity for being misleading and untruthful to the FCA and the firm.
For misconduct relating to the London Interbank Offered Rate (LIBOR).
For not complying with investment limits which are designed to protect consumers by limiting their exposure to risk.
For posing serious risk to consumers and to the confidence in the financial system.
For failing to meet the criteria of fitness and propriety by falsifying documents in relation to customers’ policies.
For failing to ensure it gave suitable advice to its customers and ensure that it financial promotions and communications with customers were clear fair and not misleading.
For deliberately manipulating a UK government bond (gilt) on 10 October 2011.
For a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption.
For deliberately providing false and misleading information in his own mortgage application.
For allowing the US based FXCM Group to withhold profits worth approximately £6 million ($9,941,970) that should have been passed on to FXCM UK’s clients.
For mis-selling insurance policies, failing to investigate complaints adequately, the Board being insufficiently engaged with compliance, and senior management being reluctant to address customer risks.
For developing and executing a deliberate and targeted strategy to charge substantial mark-ups on certain transitions that were deliberately not agreed with clients or disclosed.
For fabricating two Statements of Professional Standing to give an impression he was appropriately qualified.
For engaging in market abuse to create a false or misleading impression in order to achieve profit.
For failings relating to anti-money laundering policies and procedures for corporate customers connected to politically exposed persons.
For failing to have in place appropriate checks and controls to guard against the risk of bribery or corruption when making payments to overseas third parties.
For communications and suitability failings in relation to geared traded endowment policies (GTEPs).
For misconduct in his performance as a CF1 Director.
For serious failings in the systems and controls governing financial incentives to sales staff.
For failing to arrange adequate protection for client money for which it was responsible.
For serious failings in its appointed representatives’ sales practices.
For involvement in the submission of mortgage applications containing false information, and for making false and misleading statements to the FCA.
For misleading investment advice.
Former compliance officer fined for failing to act with due skill, care and diligence.
For failing to treat its mortgage customers fairly.
For a lack of integrity and for failing to deal openly and transparently with the regulator.
For serious failings relating to its Chief Investment Office’s "London Whale" trades.
For failing to ensure it gave suitable investment advice to its customers.
For failing to identify, and therefore properly protect, client money placed in Money Market Deposits with third party banks.
For failings in its anti-money laundering (AML) controls for high risk customers
For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE by Rameshkumar Goenka.
For failing to meet minimum regulatory standards in terms of performing significant influence functions with due skill, care and diligence.
For failing to put in place insurance policies for a client, and for not passing on the relevant premiums to insurer.
For failings in relation to its telephone sales of monthly add-on insurance products.
For incorrectly reporting transactions made in the wholesale market.
For failing to exercise due skill, care and diligence in managing the business of Burlington for which he was responsible in his controlled function.
For Market Abuse (market manipulation).
For poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd.
For deliberately misleading vulnerable customers for personal gain.
For failing to ensure advice given to customers was suitable and for poor systems and controls.
For conducting regulated activities despite being subject to a requirement.
For client asset failings.
For systems and controls failings relating to its provision of retail investment advice and portfolio investment services.
For failing to ensure that Which Mortgage had appropriate controls to verify information submitted by clients to support mortgage applications, and for altering certain client files to attempt to mislead the FSA as to the controls.
For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.
For breach of rules in relation to its sale of products provided by keydata.
For failing to deal with the FSA in an open and cooperative manner.
For Listing Rules breaches.
For delayed PPI redress payments.
For failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s Model Code.
For failings in its sale of an AIG fund.
For misappropriating money from his business and selling worthless policies.
For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).
For failing to handle payment protection insurance (PPI) complaints fairly.
violation of the provisions of CySEC’ s supervised legislation
For breaches of Principles 1,2 and 10 of the Authority’s Principles for Businesses
BLFM is failing to satisfy the threshold conditions set out in Schedule 6 of the Act. In particular, BLFM is failing to satisfy Threshold Condition 4 (Appropriate Resources)
Martins breached Principles 5 and 3 through misconduct relating to the calculation of JPY LIBOR
Swinton breached Principles 3 (Management and control), 6 (Customers’ interests) and 7 (Communications with clients) of the Authority’s Principles for Businesses
pursuant to section 66 of the Act , for failing to comply with Statement of Principle 1
pursuant to section 66 and section 56 of the Act
breached Statement of Principle 1 of the Authority’s Statements of Principle
pursuant to section 205 of the Financial Services and Markets Act 2000
pursuant to section 56 and section 66 of the Act
For breaches of Principles 3 and 8 of the Authority’s Principles for Businesses
breach of Statement of Principle 1 of the Statements of Principle
for engaging in market abuse (insider dealing)
breaches of Principle 8 and COBS 2.3.1R .
breached Principle 1 of the Statements of Principle and Code of Practice for Approved Persons by failing to act with integrity
accordance with section 206 of the Financial Services and Markets Act 2000
Violation Several NFA Requirement, Including NFA Compliance Rule 2-43(a)
PFG was a Future Commission Merchant ("FCM") and Forex Dealer Member NFA member. As such, PFG was and is Required to Comply with NFA Requirement and is Subject to Disciplinary Proceedings for Violations Thereof.
Alleged that the Respondent Violated NFA Compliance Rule 2-9(a)
Complaint Alleged That Aplha Failed to file Financial Statement in a Timely Manner, in Violation of NFA Financial Requirements Section 1
Complaint charged Royal with violations of NFA Compliance Rules 2-36(bX1) and 2-36(c) for its use and that of its unregistered solicitors of misleading promotional material.
Complaint alleged that ODL and Dubuque violated NFA Compliance Rule 2-36(b) by making misleading and deceptive statements in the solicitation of forex customers
charged lnteractive with violations of NFA Compliance Rule 2-10 for failing to maintain adequate books and records necessary and appropriate to conduct its business
Complaint Alleged that Cambridge Commingled offshore pool funds, Distributed pool statement that Contained error, failed to receive fund in the same name of pool.
Violated NFA Compliance Rules 2-36(b)(1) and 2-36(b)(5) by willfully Submitting Deceitful and misleading information to NFA and Others.
Complaint Alleged that Brandywine Failed to timely file with NFA.
Complaint alleged that XFA, Scheffler and Stafford violated NFA Compliance Rule 2-9(a), by failing to adequately supervise XFA's operations
for conducting business with an unregistered entity and failing to submit trade data to NFA
provide misleading information and date in relation to his academic qualifications and economic soundness
Violating section 9 of the Law Regulating Companies Providing Administrative Services and Related Matters, as in force (‘the Law’)
Cannot provide any services, pursuant to section 26(5) of the Law
possible withdrawal of the relevant authorisation has commenced, pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law of 2007
continue to be suspended, pursuant to section 15(3)(b) of the Law regulating Companies providing Administrative Services and Related Matters of 2012
continue as suspended, pursuant to section 26(3) of the Investment Services and Activities and Regulated Markets Law of 2007
suspicions of an alleged violation of sections 28(1) of the Law
continues to be suspended, pursuant to section 26(3)
continues to be suspended, pursuant to section 26(4)(b)
suspended, pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law of 2007
violation of section 4(1) of the Investment Services and Activities and Regulated Markets Law of 2007
violating section 5(1) of the Law Regulating Companies Providing Administrative Services and Related Matters of 2012,
pursuant to section 25(1), subparagraphs (b) and (c), of the Investment Services and Activities and Regulated Markets Law of 2007
violating section 139(2) of the Investment Services and Activities and Regulated Markets Law of 2007
pursuant to sections 25(1)(b) and 26(4)(b) of the Investment Services and Activities and Regulated Markets Law of 2007
continuous to be suspended, pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law
pursuant, of section 25(1)(c) of the Investment Services and Activities and Regulated Markets Law of 2007
pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law
violation of NFA Compliance Rule 2-9(a), 2-10
violations of NFA Compliance Rules 2-36(bX1) and 2-36(c) for its use and that of its unregistered solicitors of misleading promotional material
violation of NFA Compliance Rules 2-36(c) and 2-36(e)
violation of NFA Compliance Rule 2-36(c)
violated NFA Compliance Rule 2-36(b)(1) and 2-36(b)(5)
violated NFA Compliance Rule 2-9(a)
violated NFA Compliance Rule 2-36(d)
violated NFA Compliance Rule 2-2(a) and 2-29(a)(1)
violated NFA Compliance Rule 2-4
violated NFA Compliance Rule 2-10 and NFA Financial Requirements Sections 1 and 4
noncompliance with article 29(2) of the Alternative Investment Funds Law
violation of NFA Compliance Rule 2-9(a)
violation of NFA Compliance Rules 2-2(a) and2-29(a)(1)
violation of NFA Compliance Rule 2-10.
violation of NFA Compliance Rule 2-36(b)(1), 2-36(b)(4), 2-36(c), 2-10 and 2-36(e)
violating NFA Financial Requirements Section 11(a) by failing to maintain the required adjusted net capital, as prescribed therein
violation of NFA Compliance Rule 2-5
violation of NFA Compliance Rules 2-36(bX1) and (c)
violation of NFA Compliance Rules 2-36(bX1) and (c
violation of NFA Compliance Rule 2-10
violation of NFA Compliance Rule 2-10
failing to implement anti-money laundering program
violated NFA Compliance Rule 2-10
violation of NFA Compliance Rules 2-4 and 2-10
violating section 34 of The Investment Services and Activities and Regulated Markets Law of 2007
due to issues related to the dissemination of marketing material
non-compliance with section 28(1)
Violations of Law 2005 and Law 2007
Optional Financial LLC failed to calculate firm's capital
Remaining Unpaid Obligations
Possible Violations of the Investment Services and Activities and Regulated Markets Law of 2007
Not complied with paragraph 9(1) of CySEC Directive DI144-2007-01 of 2012 for the Authorisation and Operating Conditions of CIF's
Violation of NFA Compliance Rule 2-4
failing to exercise due skill, care and diligence
BABRBA Failed to maintain records of brunched orders and to adequately supervise the firm's commodity futures business
ETHAN MITCHEL LLC allowed an unregisterd person to act in the capacity of an AP
Revocation of administrative sanctions
Inside Dealer
Non compliance with section 139(2)
Non Compliance paragraph 9(1)
The BCC found that Mayer engaged in unauthorized trading and transferred profitable trades from customer accounts to his personal trading account while leaving losing trades in customer accounts.
W Resources, LLC Operates Three Funds as Commodity Pools, without Registering with the CFTC
State Street used false trading statements, pre-trade estimates, and post-trade reports to misrepresent its compensation on various transactions, especially purchases and sales of bonds and other securities that trade outside large transparent markets.
To comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”).
Mr Soong failed to discharge his duties as a director by using tax debts that were collected on labour hire costs to continue trading the companies instead of remitting the debt to the Australian Taxation Office.
ASIC found that Mr Manley engaged in conduct that was misleading or deceptive, or likely to mislead or deceive, clients and employees of Wilson Advisory and Stockbroking Limited (Wilsons).
ASIC found that Mr Toledo failed to act in the best interests of his clients when advising them to establish self-managed superannuation funds (SMSF) to purchase properties.
C.L. King & Associates fined for negligently making material misrepresentations and omissions to issuers in connection with the firm’s redemptions of debt securities on behalf of a hedge fund customer.
Improperly recommending more expensive share classes of various mutual funds when cheaper shares of the same funds were available.
Kingsview Futures failed to diligently supervise its operations and activities.
Mr Dimitropoulos engaged in a range of contraventions under financial services and credit laws
ASIC issued an infringement notice for an alleged failure by Sirtex to comply with its continuous disclosure obligations.
Telia was charged with conspiracy to violate the anti-bribery provisions of the FCPA.
To settle the charges that it misled investors on multiple occasions in 2013
To Settle Charges of Supervision Failures and Recordkeeping Violations
He was conducting unauthorized transactions in a client’s account.
Fail to supervise its representatives' short term trades of unit investments trusts (UITs)
For swap data reporting violations involving Legal Entity Identifier information and related supervision failures
The Securities and Exchange Commission today charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that he wasn't trading in the companies being covered.
OpenMarkets, breached the market integrity rules in relation to both the ASX Market and Chi-X Australia Market that require market participants to have appropriate filters in place for use of their automated order processing (AOP) system.
For failure to supervise its fund administrator’s operation of the commodity pool’s bank account containing pool participants’ funds.
to settle charges that it committed accounting fraud through its subsidiaries to meet revenue targets and made improper payments to foreign officials to increase sales in certain countries.
For failing to diligently supervise the reconciliation of exchange and clearing fees with the amounts it ultimately charged customers for certain transactions on the CME Group, ICE Futures US, and other exchanges.
Koresh Daniel Houghton banned for providing financial services because he had engaged in misleading, deceptive and dishonest conduct and failed to act in his clients' best interests when providing advice.
for Supervision Failures Related to Spoofing on a Foreign Futures Exchange
OSGForex claims to have its office in Hong Kong but the firm is not available at the stated address.
Lying to retail investors about the value of their investments in a Ponzi-like scheme.
Breached consumer credit laws by engaging in credit activities without holding an Australian credit licence
Mr Shah's is sentenced to 5 years jail for the creation and use of false documents to support loan applications valued at a total of approximately $170 million.
Grace Elizabeth Reisinger of Grand Island, Nebraska and her company ROF Consulting, LLC (ROF) for operating a fraudulent commodity pool scheme.
for engaging in the disruptive trading practice of “spoofing” in the copper futures contract traded on the Commodity Exchange, Inc. (COMEX) between March and August 2016.
for an alleged failure by Bellamy's to comply with its continuous disclosure obligations.
The SFC found that Xu used his mobile phone and WeChat messaging application to accept order instructions from 13 clients between February and August 2015.
Suspicions of an alleged violation of section 28(1) of the Law due to the Company’s possible non compliance, at all times
Not Authorised or Registered Firm by FCA
Involved in a Fraudulent Activity
Engaged in Abusive Practices
Withdrawal of suspension
Non Regulatory Compliance
Engangged in Fraudulent Activities
Engaged in fraudulent activities.
Unregulated
Failed to act in the best interests of his clients
Document fraud.
Fraudulent
Misconduct, Abuse
Misconduct
Non Compliant
Abuse
Fraudulent, Abuse
Fraudulent, Unregulated
Unregulated, Fraudulent
Not Specified
Fraudulent
Abuse, Miscodunct
Scam
Cybersecurity Breach
Misleading
Anti-Money Laundering
Unregulated
Unregulated,
Violation
fraud
Fraud Activities
Non-advised pension sales failures
N/A
459000.00
140000.00
50000.00
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35000000.00
965000000.00
4100000.00
2500000.00
3250000.00
550000.00
143865.48
13000000.00
66000.00
3400000.00
27385400.00
34524000.00
183636.23
10000000.00
216000.00
70.00
50.00
30.00
4023800.00
16000.00
152376.00
1400000.00
95000.00
1049412.00
977147.00
70000000.00
39300000.00
20.00
138.00
1976000.00
1250000.00
715871.56
80000.00
17300000.00
5300000.00
57000000.00
896100.00
10500000.00
30000000.00
75000000.00
97000000.00
10.00
8980000.00
120000.00
240000.00
32817800.00
135000000.00
1000000000.00
25200.00
33000.00
800000.00
1650000.00
8100000.00
45500000.00
30792500.00
7000000.00
427000000.00
Penalized in...
any period
less than 30 days
less than 90 days
less than 12 months
less than 24 months
more than 24 months ago
