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
SFC reprimands and fines CN Capital Management Limited and responsible officers for regulatory breaches
Reason
Non Compliant
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Warning

Title
IFSC warns against GNT Group Limited
Reason
Unregulated
Comment
GNT Group Limited is not licensed under the IFSC Act to provide, carry on, transact, or hold himself out as providing, carrying on, or transacting any of the international financial services as set out in the Schedule of the IFSC ACT in or from within Belize.
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Warning

Title
CNMV warns against unregistered companies
Reason
Unregulated
Comment
BALI LIMITED LTD WINMORE ALLIANCE www.pointinvestmentgroup.com is not authorised to provide the investment services detailed in Article 140 of the Securities Market Law.
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Warning

Title
SEC Charges Additional Defendant in Fraudulent ICO Scheme
Reason
Fraudulent
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Warning

Title
FCA warns against New Power Gen Ltd t/a Strategy Markets
Reason
Unregulated
Comment
This firm has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against Delta Capital Markets / ADT Group Ltd
Reason
Unregulated
Comment
This firm has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against Capzone Invest Ltd t/a HQ Broker
Reason
Unregulated
Comment
This firm has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against Trade Korea clone firm
Reason
Unregulated, Fraudulent
Comment
This 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 Reyker Securities clone firm
Reason
Fraudulent, Unregulated
Comment
This 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 AMP Capital Investors (UK) Limited clone firm
Reason
Fraudulent, Unregulated
Comment
This firm is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.