Search Results for: financial services
Investors warnings to avoid unathorized financial services firms
June 28th, 2018
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Sweden (Finansinspektionen), Austria (Financial Market Authority – FMA), Spain (Comisión Nacional del Mercado de Valores – CNMV), Hong Kong ...
FCA reveals urban-rural differences in how consumers experience financial services
June 22nd, 2018
The Financial Conduct Authority (FCA) has published the latest analysis from its Financial Lives survey. Today’s report puts the spotlight on the financial situation of people across the UK and highlights where in the UK people may be more ...
Beware of unauthorized companies offering investment and financial services
June 12th, 2018
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Italy (National Commission for Companies and the Stock Exchange – Consob), Austria (Financial Market Authority – FMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Luxembourg (Commission ...
Supervisory authorities around the world warn for unauthorised financial services firms
April 13th, 2018
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Hong Kong (Securities and Futures Commission – SFC), Austria (Financial Market Authority – FMA), France (Autoritè des Marches Financiers ...
FCA UK publishes discussion paper on transforming culture in financial services
March 21st, 2018
The Financial Conduct Authority (FCA) has published a discussion paper on transforming culture in financial services which presents views from academics and industry thought leaders. The paper is intended to provide a basis for stimulating further debate on transforming ...
Director to pay $400,000 and cease to provide financial services for five years
February 16th, 2018
ASIC has accepted an Enforceable Undertaking from director Mr David Orth under which he will cease to provide financial services for five years. In addition, Mr Orth will make a community benefit payment in the amount of $400,000 to ...
Volkswagen Financial Services Australia pays $216,000 penalty for misleading advertising
November 28th, 2017
Volkswagen Financial Services Australia Pty Ltd has paid a penalty of $216,000 after ASIC issued 20 infringement notices for alleged misleading statements made by VWFSA as part of its ‘1% you can’t ignore’ advertising campaign. VWFSA ran several advertisements ...
Supervisory authorities around the world warn of unauthorised financial services entities
October 23rd, 2017
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Austria (Financial Market Autority – FMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Ireland (Central Bank of Ireland), Hong Kong (Securities and Futures Commission – SFC) ...
Beware of unauthorised financial services entities
October 5th, 2017
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), France (Authorité des Marchés Financiers – AMF), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Hong Kong (Securities and Futures Commission – SFC), Luxembourg (Commission de Surveillance ...
Supervisory authorities around the world warn for unauthorised financial services entities
September 18th, 2017
The supervisory authorities of Australia (Australian Securities and Investment Commission- ASIC), United Kingdom (Financial Conduct Authority – FCA), Hong Kong (Securities and Futures Commission – SFC), Belgium (Financial Services and Markets Authority – FSMA), Denmark (Danish Financial Supervisory Authority ...
