Experts react to House of Lords rebuke on FCA ‘naming and shaming’
The report ‘will put further pressure’ on the FCA
Search Results for: Isle of Man financial services authority
Dubai FSA completes eight enforcement cases in 2024 against individuals and firms
The regulator also issued 24 alerts over this period
FCA bans and fines insurance broker director £1.1m for ‘misusing money’
The regulator said this action ‘shows how seriously we take individuals who abuse their position for personal gain and risk damaging the integrity of the UK’s financial system’
DFSA fines ex-Mirabaud Middle East private banker $980,020 for ‘deceptive’ conduct
He has also been banned from holding office or being an employee of a DFSA authorised firm
Abu Dhabi FSRA warns over unlicensed firm promoting fixed return real estate fund
The Tharwa Fund is not and has never been established as a Collective Investment Fund in ADGM