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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Warning

Title
FCA warns against Active Capital Asset Managers (Clone of an EEA authorised firm)
Reason
Unregulated
Comment
Active Capital Asset Managers (Clone of an EEA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Warning

Title
FCA warns against UK Secure Bonds UK
Reason
Unregulated
Comment
UK Secure Bonds UK is not authorised by the FCA and is targeting people in the UK.
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Warning

Title
FCA warns against Harrison Newman
Reason
Unregulated
Comment
Harrison Newman is not authorised by the FCA and is targeting people in the UK.
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Warning

Title
FCA warns against Kingsbridge Capital (clone of authorised firm)
Reason
Unregulated
Comment
Kingsbridge Capital (clone of authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Fine

Title
CySEC fines number of companies for violations of transparency requirements of the law.
Reason
Non Compliant
Comment
The companies with monetary penalties include: Harvest Capital Management Public Ltd with administrative fine of €13,000 ~ Cyprus Trading Corporation Plc with administrative fine of €12,500 ~ Aias Investment Public Ltd was fined the amount of €12,500 ~ Regallia Holdings & Investments Public Ltd was fined €6,500 ~ Isxis Investment Public Ltd was fined €6,500 ~ Elma Holdings Public Company Ltd was fined €6,250 ~ Dodoni Portfolio Investments Public Company Ltd was fined €6,250 ~ Jupiter Portfolio Investments Public Company Ltd was fined €6,250 ~ CPI Holdings Public Ltd was fined €3,750 ~ Karyes Investment Public Company Ltd was fined €3,000 ~ Exelixi Investment Public Ltd was fined €1,500 ~ Unigrowth Investments Public Ltd was fined €1,500
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Warning

Title
FCA warns against Kronos Invest / KronosInvest (Clone of a previously EEA authorised firm)
Reason
Unregulated
Comment
Kronos Invest / KronosInvest (Clone of a previously EEA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Warning

Title
FMA New Zealand warns against Business Choice Partners Group Limited
Reason
Fraudulent
Comment
Business Choice Partners Group Limited may be operating a scam.
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Warning

Title
FCA warns against Old Mutual Wealth (Clone of FCA Authorised firms)
Reason
Unregulated
Comment
Old Mutual Wealth (Clone of FCA Authorised firms) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Warning

Title
FCA warns against Hanseatic Financial Services (clone of formerly EEA authorised firm)
Reason
Unregulated
Comment
Hanseatic Financial Services (clone of formerly EEA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Warning

Title
FCA warns against Cash4u (Clone firm)
Reason
Unregulated
Comment
Cash4u (Clone firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.