Investor Alerts - Global Wealth Asset Management

Company: Global Wealth Asset Management
Regulator: Financial Conduct Authority
Jurisdiction: United Kingdom
Date: 20221130 30 Nov 2022
Link: https://www.fca.org.uk/news/warnings/global-wealth-asset-management
Subject: Regarding fraudulent or manipulative practices (insider dealing, market manipulation, misrepresentation of material information, etc.)

Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements

Regarding market intermediaries (investment and trading advisers, collective investment schemes, brokers, dealers, and transfer agents)

Regarding markets, exchanges, and clearing and settlement entities

Miscellaneous
Comments: No additional comments posted.