Name: alphawavetrade Ltd (www.alphawavetrade.com) Address: Meadow Vale, Marlow, Buckinghamshire, UNITED KINGDOM, SL7 16 Hoxton Street, Islington, London, UNITED KINGDOM, N1 5LG Email: [email protected] Website: www.alphawavetrade.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...
Author: EMA Investments
Standard Metropolitan Bank
Name: Standard Metropolitan Bank Address: 67 Albert Road, London, SW52 8ML Email: [email protected] Website: https://standardmetropolitanbank.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 or individual, so the information looks...
ESMA publishes data for quarterly bond liquidity assessment and the systematic internaliser calculations
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published the new quarterly liquidity assessment of bonds and the data for the quarterly systematic internaliser calculations for equity, equity-like instruments, bonds and for other non-equity instruments under MiFID II and MiFIR. As indicated in the public statement of...
Lonsdale Insurance Brokers Limited enters liquidation
On 24 July 2024, Lonsdale Insurance Brokers Limited (Lonsdale) entered creditors’ voluntary liquidation. Neil Bennett and Alex Cadwallader of Leonard Curtis were appointed as joint liquidators. Lonsdale is an FCA-authorised Lloyd’s wholesale insurance broker. The firm placed commercial business (such as property and casualty, surety bonds, warranties and reinsurance) with insurance carriers on behalf of...
ASIC suspends AFS licence of Id Funds Management Limited
ASIC has suspended the Australian financial services (AFS) licence of Id Funds Management Limited (Id Funds) until 28 February 2025. The licence was suspended on the basis that Id Funds failed to meet its statutory audit and financial reporting lodgment obligations for the financial years ending 30 June 2022 and 30 June 2023. ASIC will...
ASIC further extends transitional relief for foreign financial services providers
ASIC is extending for a further 12 months the transitional relief for foreign financial services providers (FFSPs) from the requirement to hold an Australian financial services (AFS) licence when providing financial services to Australian wholesale clients. The current transitional arrangements for ASIC’s sufficient equivalence relief and limited connection relief were due to expire on 31...
ASIC disqualifies Sydney director Dominique Grubisa from managing corporations for 18 months
ASIC has disqualified Sydney-based director Dominique Grubisa from managing corporations for 18 months following her involvement in the failure of two companies. The disqualification took effect on 24 May 2024. Ms Grubisa was the sole director of DGI Accounting Pty (DGIA) from 10 April 2018 to 26 August 2022, and DGI Debt Management Pty Ltd (DGID) from...
ASIC bans United Global Capital (in Administration) director for 10 years and cancels licence
ASIC has banned Joel James Hewish for 10 years from providing financial services, performing any function involved in carrying on of a financial services business and controlling an entity that carries on a financial services business. ASIC has also cancelled the Australian financial services (AFS) licence of Mr Hewish’s company, United Global Capital Pty Ltd...
ESMA delivers opinion on global crypto firms using their non-EU execution venues
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor authority, issued today an Opinion to address the risks presented by global crypto firms seeking authorisation under the Markets in Crypto Assets (MiCA) Regulation for part of their activities (crypto brokerage) while keeping a substantial part of their group activities (intra-group...
Taking the leap on the Consumer Duty
Highlights We welcome the improvements firms have made to deliver better consumer outcomes in the first year of the Duty. The outcomes-based nature of the Duty will allow us to streamline our rulebook to support competitiveness and growth, while ensuring good consumer outcomes. Following today’s milestone, we’ll continue to focus on how firms are embedding...
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