When introducing the Investment Firm Prudential Regime (IFPR) in January 2022, we renamed and moved the definition of ‘Significant IFPRU firm’ used as one of the criteria for identifying Enhanced Firms under the Senior Managers & Certification Regime (SM&CR). This was to retain the definition in our rules following the deletion of the IFPRU sourcebook....
Author: EMA Investments
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Cryptofxtrading
Almost all firms and individuals offering, promoting, or selling financial services or products in the UK have to be authorized or registered by us. This firm is not authorized by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services...
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Larry Barreto pleads guilty to carrying on regulated activities without authorisation
On 29 July 2022 at Southwark Crown Court, Mr. Larry Barreto pleaded guilty to two counts of carrying on regulated activities without authorization. The charges relate to advice provided and arrangements made regarding a series of regulated mortgage contracts between June 2014 and March 2018. Mr. Barreto is an unauthorized and prohibited person and as...
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ESMA PUBLISHES LATEST EDITION OF ITS NEWSLETTER
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published the latest edition of its Spotlight on Markets Newsletter. Your one-stop-shop in the world of EU financial markets features in July an article on the development of key retail risk indicators (RRIs) for the EU single market. The identified RRIs...
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Claims Advisory Service
Almost all firms and individuals offering, promoting, or selling financial services or products in the UK have to be authorized or registered by us. This firm is not authorized by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services...
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ESMA LAUNCHES CALL FOR EVIDENCE ON PRE-HEDGING
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, today publishes a Call for Evidence on pre-hedging. The aim is to promote discussion among stakeholders and gather further evidence on the practice of pre-hedging that could help ESMA to develop appropriate guidance. The Call for Evidence illustrates the arguments in favour and...
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Click Money
Almost all firms and individuals offering, promoting, or selling financial services or products in the UK must be authorized or registered by us. This firm is not authorized by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation...
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MASAO VENTURES
Almost all firms and individuals offering, promoting, or selling financial services or products in the UK must be authorized or registered by us. This firm is not authorized by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation...
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Individual sentenced to four months imprisonment for contempt of court
The FCA has brought two contempt of court applications before Southwark Crown Court regarding ten breaches by an individual of a restraint order obtained under the Proceeds of Crime Act 2002. The restraint order is in place to protect any assets the individual may have an interest in (whether the proceeds of crime or otherwise)...
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247FX TRADE
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This firm is not authorised by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services...
Civil rights law practice area legal advice is the application of abstract principles of law to the concrete facts of the client’s case.