Investor Alerts - Capital-adv (Clone of FCA Authorised Firm Capital Direct Management (UK) Ltd FRN: 753074)
| Company: | Capital-adv (Clone of FCA Authorised Firm Capital Direct Management (UK) Ltd FRN: 753074) |
| Regulator: | Financial Conduct Authority |
| Jurisdiction: | United Kingdom |
| Date: | 28 Feb 2024 |
| Link: | https://www.fca.org.uk/news/warnings/capital-adv-clone-fca-authorised-firm-capital-direct-management-uk-ltd-frn-753074 |
| 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 Regarding Emerging Digital Threats including ICOs and crypto-assets Miscellaneous |
| Comments: | No additional comments posted. |