Investor Alerts - www.capitaltungate.com (clone of AIFM Small Reg Firm)

Company: www.capitaltungate.com (clone of AIFM Small Reg Firm)
Regulator: Financial Conduct Authority
Jurisdiction: United Kingdom
Date: 20230315 15 Mar 2023
Link: https://www.fca.org.uk/news/warnings/wwwcapitaltungatecom-clone-aifm-small-reg-firm
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.