Investor Alerts - Sword Capital Financial Brokerage Company
| Company: | Sword Capital Financial Brokerage Company |
| Regulator: | Capital Markets Authority |
| Jurisdiction: | Kuwait |
| Date: | 28 Feb 2024 |
| Link: | https://www.cma.gov.kw/en/web/cma/cma-board-releases/resolutions-and-regulations/-/cmaboardreleases/detail/1464281 |
| 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) Miscellaneous |
| Comments: | Sword Capital Financial Brokerage Company license’s (Securities Broker not Registered with an Exchange) is hereby cancelled, and it shall be removed from the licensed persons register at the CMA-Kuwait due to violating articles of Law No. 7 of 2010 mentioned in the resolution No. (19) of 2024 |