Warnings

Day: July 13, 2023

National regulators strengthen their supervision of the compliance function

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The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its follow-up report to the peer review on certain aspects of the compliance function under MiFID I. The report shows that, overall, the National Competent Authorities (NCAs) assessed improved their practices following the 2017 peer reviews findings and …

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FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

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The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. They failed to manage the risk of being used to facilitate fraudulent trading and money laundering. Between January 2014 and September 2015 Bastion executed trading to the value of approximately £49bn in Danish …

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CCC-Trade

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Unauthorised firm details Name: CCC-Trade Address: 52 Berkeley St, London, United Kingdom Telephone: +442392007118, +61370196932, +61370196944, +61370196942 Email: [email protected] Website: https://ccc-trade.co/ Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business …

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CAPITALBMARKET

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Unauthorised firm details Name: CAPITALBMARKET Address: 2 STEPHEN ST, LONDON, UNITED KINGDOM, W1T 1AN Telephone: +1756894650, +442080974337 Email: [email protected] Website: https://capitalbmarket.com/ Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business …

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ITGSolution

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Unauthorised firm details Name: ITGSolution Address: First Floor, First St Vincent Bank Ltd Building, James Street, Kingstown, VC0100, P.O. Box 1574 Telephone: +447360517823 Email: [email protected] Website: https://itgsolution.net/ Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you …

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Trade WL

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Unauthorised firm details Name: Trade WL Address: Webber Row, London, UNITED KINGDOM, SE1 8XD Telephone: +447904945293, +447503702864 Email: [email protected] Website: https://tradewl.com/ Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business …

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