Posted by UnitedAtlantic | financial conduct authority
In April 2024, the Financial Conduct Authority (FCA) issued a Final Notice against Link Fund Solutions Limited (Link) for failing… Continue reading FCA Orders Link Fund Solutions to Pay £230 Million in Restitution
Read MorePosted by UnitedAtlantic | securities and exchange commission
In April 2024, the Securities and Exchange Commission (SEC) imposed a $6.5 million penalty on Senvest Management, LLC, a registered… Continue reading SEC Fines Senvest Management for Recordkeeping and Compliance Failures
Read MorePosted by UnitedAtlantic | securities and exchange commission
In March 2024, the Securities and Exchange Commission (SEC) took action against Delphia (USA) Inc., a former registered investment adviser,… Continue reading SEC Sanctions Delphia for False and Misleading AI Claims
Read MorePosted by UnitedAtlantic | securities and exchange commission
In March 2024, the Securities and Exchange Commission (SEC) imposed sanctions on Global Predictions, Inc., an investment adviser, for making… Continue reading SEC Action Against Global Predictions for Misleading AI Claims and Compliance Failures
Read MorePosted by UnitedAtlantic | financial conduct authority
In March 2024, the FCA fined Inspirational Financial Management Ltd (IFM) £897,840 for providing unsuitable pension transfer advice, particularly to… Continue reading FCA Fines Inspirational Financial Management Ltd £897,840 for Unsuitable Pension Transfer Advice
Read MorePosted by UnitedAtlantic | securities and exchange commission
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have recently adopted significant amendments to… Continue reading Key Provisions of the SEC’s Form PF Reporting Rule Amendments
Read MorePosted by UnitedAtlantic | broker-dealer, securities and exchange commission
In a move designed to modernize the securities market and clarify its participants’ responsibilities, the U.S. Securities and Exchange Commission… Continue reading Key Provisions of SEC’s Final Rule on Defining “Dealer” and “Government Securities Dealer”
Read MorePosted by UnitedAtlantic | financial conduct authority, UK financial professionals
In February 2024, the Financial Conduct Authority (FCA) fined Floris Jakobus Huisamen £31,800 and banned him from holding any regulated… Continue reading FCA Imposes £31,800 Fine and Prohibition on Floris Jakobus Huisamen for LCF Misconduct
Read MorePosted by UnitedAtlantic | securities and exchange commission
In January 2024, the Securities and Exchange Commission (SEC) filed a high-profile administrative and cease-and-desist order against Pawan Kumar Passi,… Continue reading Insider Trading Scandal at Morgan Stanley: The Case of Pawan Kumar Passi
Read MorePosted by UnitedAtlantic | securities and exchange commission
In January 2024, the SEC charged Aon Investments USA Inc. and former partner Claire P. Shaughnessy for misconduct related to… Continue reading SEC Charges Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund
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