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International Regulator Alerts


These are recent alerts from the International Organisation of Securities Commissions (IOSCO).

16 August 2014

Added (6)

Company: Futur Market 
Link:  https://www.finma.ch/E/SANKTIONEN/UNBEWILLIGTE-INSTITUTE/Pages/details.aspx?orgid=450
Posted by: Swiss Financial Market Supervisory Authority, Switzerland 
Company: Royal de Bank
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=449
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Clifton Capital Partners LLC
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Cliffhanger Capital KB
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Atlantic Mutual Int Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA firm
Company: Unregistered On-line trading platforms / Plateformes de négociation en ligne non inscrites
Link: http://www.lautorite.qc.ca/fr/communiques-2014-conso.html_2014_meg-plateformes-negociation.html
Posted by: Autorité des marchés financiers, Quebec
Comments: The AMF is therefore providing investors with a list
of websites which are not authorized to offer such investment products and services.

Deleted (2)

Company: DCI Funds PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a FCA Registered Firm
Company: World Gold GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=422
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 August 2014

Added (8)

Company: Liquidateur
Link: http://www.lautorite.qc.ca/fr/communiques-2014-corpo.html_2014_meg-usurpation-2014-08-07.html
Posted by: Autorité des marchés financiers, Quebec
Company: Citystate Consulting Co.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Citystate Consulting Co. is not authorised to provide
investment services in Ireland. The firm purports to be based in the USA.
Company: Infinity 2 Global
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Infinity_2_Global/
Posted by: British Columbia Securities Commission, British Columbia
Company: Economists & Lawyers
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Economists___Lawyers/
Posted by: British Columbia Securities Commission, British Columbia
Company: Hunt Acquisition Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Hunt Acquisition Group is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
Company: DCI Fund Managers Ireland PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Registered Firm
Company: Asian Futures Trading Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Asian Futures Trading Group is not authorised to
provide investment services in Ireland. The firm purports to be based in Hong
Kong.
Company: DCI Funds PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a FCA Registered Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

2 August 2014

Added (7)

Company: Capstone Alliance Group
Link: http://www.sc.com.my/list-of-unauthorised-websites-investment-products-companies-individuals/#c
Posted by: Securities Commission, Malaysia
Company: Green Seed Capital
Link: https://www.finanstilsynet.dk/en/Nyhedscenter/Pressemeddelelser/2014/Advarsel-green-seed-capital-310714.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments:

The Danish Financial Supervisory Authority has been informed that Green Seed Capital unsolicited has offered to carry out financial services. The company's address is 1 Harbour View Street, Central, Hong Kong and the company's homepage is www.greenseedcapital.com.

Green Seed Capital does not have authorization from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.

Company: IBC Capital Limited (IBCFX)

Link:

http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=ibcfx
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Willow and Black
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Inter Global Equity - Herrington Global - Meta Capital Partners Ltd - Sigma Capital Advisors - Ridgewood Securities
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: OBmarkets - Good Option - Ubinary - Triumph Option - Bo Bank/Analysis Finance - BforBroker
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: NRG Capital (CY) Limited o/a NRG Binary
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140724_nrg.htm
Posted by: Ontario Securities Commission, Ontario
Comments: NRG Capital (CY) Limited doing business as www.nrgbinary.com and www.nrgaffiliates.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.

Deleted (3)

Company: One Vector Group Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=439
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Altree Financial Group
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1102
Posted by: Securities and Futures Commission, Hong Kong
Company: Securities Africa
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1101
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 July 2014

Added (11)

Company: Alternative Bridging Corporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: UFX Trade Limited o/a UFX Markets
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140722_ufx.htm
Posted by: Ontario Securities Commission, Ontario
Comments: UFX Trade Limited doing business as www.ufxmarkets.com, www.ufxaffiliates.com, www.ufxpartners.com, and affiliates of
UFX are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Lefroy Hudson
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Lefroy%20Hudson
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Infinite Investment Wójcik i Wspólnicy Sp. k. (now: W
& Associates J. Wójcik Sp. k.)
Posted by: Polish Financial Supervision Authority, Poland
Company: Simple Assets TFI SA
Posted by: Polish Financial Supervision Authority, Poland
Company: Thüngen Financial
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Thüngen Financial is not authorised to provide investment services in Ireland. The firm purports to be based in Luxembourg.
Company: Opulentitas Holding Group (L) Ltd.
Link: https://www.finma.ch/d/sanktionen/unbewilligte-institute/seiten/details.aspx?orgid=448
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Opulentitas Financial Group (L) Ltd.
Link: https://www.finma.ch/d/sanktionen/unbewilligte-institute/seiten/details.aspx?orgid=447
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: EuroSwiss Capital Partners
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=446
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Toth Vermögensverwaltung AG
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/toth-vermoegensverwaltung-ag.html
Posted by: Financial Market Authority, Austria
Company: Futurmarket / Royal de Bank
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Royal_de_Bank_Futurmarket_210714_EN.pdf
Posted by: Commission de surveillance du secteur financier,
Luxembourg, Grand Duchy of
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 July 2014

Added (4)

Company: Matheson Wang Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hopler Global Investment Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx?PagingID=7
Posted by: Central Bank of Ireland, Ireland
Comments: Hopler Global Investment Group is not authorised to provide investment services in Ireland. The firm purports to be based in Hong Kong.
Company: Maplex Alliance Limited
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140711_maple-alliance-limited.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Maplex Alliance Limited doing business as www.maplexalliance.webs.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Thüngen Financial
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Thuengen_Financial_140714.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

12 July 2014

Added (9)

Company: Clarion Equity Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Clarion Equity Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
Company: Springer Asset Management
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Brock Hartwick
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Brock Hartwick is not authorised to provide investment services in Ireland. The firm purports to be based in the UK.
Company: European Financial Markets Gmbh
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=european%20financial%20markets
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Worth UK Limited - Venetfx
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=worth%20uk%20limited
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: LK Advisors
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: USG Holdings Ltd / United Securities Group
Link: http://www.sfc.hk/web/EN/alert-list/u.html#1274
Posted by: Securities and Futures Commission, Hong Kong
Company: www.bgcmarkets.net / www.bgcmarkets.org
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1273
Posted by: Securities and Futures Commission, Hong Kong
Company: Avatar Finance Corporation
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140703_avatar-finance-corp.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Avatar Finance Corporation, a subsidiary of Avatar Finance Group, doing business www.avatarfinancegroup.com
is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

6 July 2014

Added (11)

Company: OptionRally Financial Services Ltd. dba OptionRally
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/OptionRally_Financial_Services_Ltd__dba_OptionRally/
Posted by: British Columbia Securities Commission, British Columbia
Company: Update websites offering binary options trading
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?langSwitch=true&docId=workspace%3A%2F%2FSpacesStore%2F4091a7bd-cba2-4d8a-aba1-4d3d461979d4
Posted by: Autorité des marchés financiers, France
Comments: Update of the list of unauthorised websites offering trading in binary options.
Company: Hargreave Hale
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Asiatic Associates / Asiatic Acquisitions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Eagle Commerce Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Lansley Everett and Moore LLC
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Usurpation of AMF identity
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?docId=workspace%3A%2F%2FSpacesStore%2F36ef8a46-4982-4480-9301-245c092c95d2
Posted by: Autorité des marchés financiers, France
Comments: Concerns activities of persons claiming to work for the AMF France
Company: Rimas Risk Management Service
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: clone of EEA authorised firm
Company: Knightsbridge Management International Asset Management
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: clone of EEA authorised firm
Company: Aries Ventures Inc
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Altivex Limited, ATM Holdings Limited, Blackrock Investments Limited, Brainerd Properties Limited, Decorcraft Limited, Eufala Investments Limited, First Lexington Holdings Limited, Saginaw Ventures Limited, Targaryen Holdings Limited
Link: http://www.fsc.gi/enforcement/fscwarning0053.htm
Posted by: Financial Services Commission, Gibraltar
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

30 June 2014

Added (11)

Company: World Mazo Inc (Mymazo)
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: LifeClub International S.A.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Stealth Takeovers
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Stealth Takeovers is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Connor Simmons Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Connor Simmons Group is not authorised to provide
investment services in Ireland. The firm purports to be based in the USA.
Company: Pika Management AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=445
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Helvetic Capital Partners AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=444
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Swiss Fund Monitoring Verification Commission Agency
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=443
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Gresham Street Partners
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=442
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Mallon Capital
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=441
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: FIT Panama, Inc. and FIT Forex Investment Team AG
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/215-informacion-del-mercado/varios-alertas-al-inversionista/4829-warning-non-authorized-entities-fit-panama-inc-and-fit-forex-investment-team-ag
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Sierra Finance Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom

Deleted (1)

Company: LifeClub International S.A and World Mazo Inc/Mymazo
Link:  
Posted by: Finansinspektionen, Sweden
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

21 June 2014

Added (8)

Company: Update unauthorised websites offering binary options
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?docId=workspace%3A%2F%2FSpacesStore%2F5751fc04-1906-433e-b422-679ec847bbc5
Posted by: Autorité des marchés financiers, France
Comments: Update of the list of unauthorised websites offering
binary options.
Company: Forex Broker Inc. or Noble Services, Forex Club or Forex Club International Limited, Velarda Forex, Velarda Markets or Velarda and NDD Broker
Posted by: Malta Financial Services Authority, Malta
Company: Stellar Worldwide LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/s/stellar-worldwide-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: Sky Forex Broker
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Sky_Forex_Broker/
Posted by: British Columbia Securities Commission, British Columbia
Company: Conglomerado de Servicios Múltiples Financieros ARKO S.A. de C.V.
Posted by: Comisión Nacional Bancaria y de Valores, Mexico
Comments: Some people are impersonating the National Banking and Securities Commission (Comisión Nacional Bancaria y de Valores - CNBV) of Mexico, and are asking natural and legal persons located outside Mexico to transfer funds to a banking account in Mexico under the name of Conglomerado de Servicios Múltiples Financieros ARKO S.A. de C.V. They are also using a fake e-mail purportedly from the CNBV (atencionaclientes@mx-cnbv-mx.com), and the following phone number: 011-52-55-4624-2413. The CNBV alerts people on this issue. In case of any doubt, please contact the CNBV directly at +52(55)
1454-6020 or by e-mail at jloyola@cnbv.gob.mx
Company: Hewlett Partners Limited
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: IPAM International Project Asset Management Ltd
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=440
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: One Vector Group Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=439
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 June 2014

Added (16)

Company: Perkins Investment Group Inc.
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Perkins_Investment_Group_Inc_/
Posted by: British Columbia Securities Commission, British Columbia
Company: WM Bormla, WM Bormla Limited, WM Bormla Bank Limited and WM Bormla PLC
Link: http://www.wmbormla.eu/secure/
Posted by: Malta Financial Services Authority, Malta
Company: CMBS Portfolio
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Elliott Associates
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: CHANGSHENG ASSOCIATES/GENKAI SECURITIES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: D B Ingram and Associates LLP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Seth Cohen LLP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: PL Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: The Corliss Group
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=The%20Corliss%20Group
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Gestión, Productos y Bolsa, SL (Gesprobolsa)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=gestion,%20productos%20y%20Bolsa
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Delorean Family, SL
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Delorean%20Family
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: BTC International Global Markets, SL
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=BTC%20International%20Global%20Markets
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: SMAX - Stock Market for Unlisted Shares och PostTellus AX
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: InvestDiamond
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?docId=workspace%3A%2F%2FSpacesStore%2F9595985a-db29-4845-914b-a8897ca8c4f8
Posted by: Autorité des marchés financiers, France
Comments: Warning denouncing the use of the AMF's name in a
press release on the Invest Diamond website.
Company: InstaForex Company doing business as www.instaforex.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140609_instaforex-company.htm
Posted by: Ontario Securities Commission, Ontario
Comments: InstaForex Company, a subsidiary of InstaForex Companies Group, doing business as www.instaforex.com is not registered to engage in the business of (i) trading in securities or
(ii) advising anyone with respect to investing in, buying or selling securities.
Company: Uinvest LLC
Posted by: Polish Financial Supervision Authority, Poland

Deleted (1)

Company: Zurich Private Capital HQ
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=394
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

7 June 2014

Added (8)

Company: Daido Holdings Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-buitenland/d.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: TJB Trading
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_TJB_Trading_050614.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Global Settlements Group
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Global_Settlements_Group/
Posted by: British Columbia Securities Commission, British
Columbia
Company: Ava Trade Limited doing business as www.avatrade.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140604_ava-trade-limited.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Ava Trade Limited doing business as www.avatrade.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Keswick Capital Corp.
Link: http://www.bcsc.bc.ca/Enforcement/Investment_Caution_List/Keswick_Capital_Corp_/
Posted by: British Columbia Securities Commission, British Columbia
Company: American First City Corporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Brock Hartwick
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Taxwise Consultants and Financial Compensation Authority
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 May 2014

Added (14)

Company: ADVICE Lukasz Golawski
Posted by: Polish Financial Supervision Authority, Poland
Company: Lukas Kantor Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA authorised firm
Company: Scott Thomas Wealth Advisory
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: update - unauthorised websites offering binary options
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?docId=workspace%3A%2F%2FSpacesStore%2F2a95b838-06a1-41cd-8cd3-1c66a88bcdb5
Posted by: Autorité des marchés financiers, France
Comments: Update regarding unauthorised websites offering binary
options
Company: Update unauthorised entities and websites offering
Forex
Link: http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/AMF/annee_2014.html?docId=workspace%3A%2F%2FSpacesStore%2F8b91c565-8f9f-45c4-9241-a0d4b51221e7
Posted by: Autorité des marchés financiers, France
  Update of previous warnings regarding unauthorised
entities and websites offering forex
Company: Hartford Group International
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: CP Brokers
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA authorised firm
Company: Aris UK Advisory
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA authorised firm
Company: TradeQuicker
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19680
Posted by: British Columbia Securities Commission, British
Columbia
Company: Stocks Trading One Spain, SL
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=stocks%20trading%20one
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: www.comisionesbroker.net
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=www.comisionesbroker
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: HPC Forex Trading
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=hpc%20forex
Posted by: Comisión Nacional del Mercado de Valores, Spain
Comments:

HPC Forex Trading has no association whatsoever with the following French Company which is duly registered and authorised to provide investment services:

HPC (22, Rue des Capucines; 75002 Paris) (Num at CNMV 353)

Company: Hucaro Gestión Financiera y Desarrollo Patrimonial, SL
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=hucaro%20gestion
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: GT Serv Corp
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=438
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland

Deleted (1)

Company: EZ Trader
Link:  
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

22 May 2014

Added (1)

Company: Aurum International Management
Link: http://www.auruminternationalmngt.com/
Posted by: Australian Securities & Investments Commission, Australia.

17 May 2014

Added (8)

Company: Caltherm Co. Private Equity LLC / American Committee
of Regulation and Liquidation on Private Ventures
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Mallon Capital
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=437
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: FSM Polska Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Uslugi Handlowe PI Piotr Pisarek
Posted by: Polish Financial Supervision Authority, Poland
Company: Asian Futures Trading Group
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1263
Posted by: Securities and Futures Commission, Hong Kong
Company: Global GECR
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: BNY Mellon Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: (Clone of brand name or trading style of UK FCA
Authorised entities)
Company: Baron Group Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

10 May 2014

Added (7)

Company: VaultOptions Ltd. doing business as www.vaultoptions.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140509_vaultoptions.htm
Posted by: Ontario Securities Commission, Ontario
Comments: VaultOptions Ltd. doing business as www.vaultoptions.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: CO.NET
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Karatbars International GmbH
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19634
Posted by: British Columbia Securities Commission, British Columbia
Company: Forex Live Fx
Link: http://www.fscmauritius.org/media/133343/investor_alert-forex_live.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Hatfield Oak International S.A., Lochmaden S.A/Nuf and
Brant Point Management S.A.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: LFG Investment Limited doing business as www.optionrally.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140502_lfg-investment-ltd.htm
Posted by: Ontario Securities Commission, Ontario
Comments: LFG Investment Limited doing business as www.optionrally.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: OptionRally Financial Services Ltd. doing business as www.optionrally.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140502_optionrally.htm
Posted by: Ontario Securities Commission, Ontario
Comments: OptionRally Financial Services Ltd. doing business as www.optionrally.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

3 May 2014

Added (16)

Company: DeltaFins Investments Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=435
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Goldman Capital
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=434
Posted by:  Swiss Financial Market Supervisory Authority,
Switzerland
Company: Private Capital
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=433
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: AXA Investment Managers
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Authorised Firm
Company: Stensland Pensjon og Finans ANS
Link: http://www.cnb.cz/en/consumer/consumer_protection/notices/notice_stensland_pensjon_og_finans_ans.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that the Norwegian company Stensland Pensjon og Finans ANS, which is offering the possibility of increasing the value of money either by depositing it on a saving account or investing in a mutual fund in Czech via its website http://www.stensland.cz , is not supervised either by the Czech National Bank or the relevant Norwegian supervisory authority Finanstilsynet and has no authorisation to provide investment or any other services on the financial market in the Czech Republic. A potential
investment is not insured by law.
Company: Pluscapital Forex, S.L. (Pluscapital FX)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Pluscapital%20Forex
Posted by:  Comisión Nacional del Mercado de Valores, Spain
Company: Brunswick Capital
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Brunswick
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Mercxyz One Limited
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=mercxyz
Posted by:  Comisión Nacional del Mercado de Valores, Spain
Company: Niigata Global
Link: https://www.finanstilsynet.dk/en/Nyhedscenter/Pressemeddelelser/2014/Advarsel-mod-Niigata-Global-2014.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Niigata Global unsolicited has offered to carry out financial services in Denmark. The company's address is 16th Fl., Sapia Tower 7-12, Marunouchi 1-chome, Chiyoda-ku, 100-0005 Tokyo, Japan. The company's homepage is http://niigataglobal.com/

Niigata Global does not have authorisation from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Company: Mercxyz One Limited
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=432
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: KMI Consultants
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=430
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Dupont Securities
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=431
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Liberty Stone Financial
Link: Financial Supervisory Commission, Chinese Taipei
Posted by:

Liberty Stone Financial claims to be a portfolio management firm with offices at No. 460 Xin Ji Road Section 4, Xinyi, Taipei, Taiwan. Our records show that Liberty Stone Financial does neither have a license in Taiwan to conduct securities businesses nor have an authorization to offer investment services. Besides, Liberty Stone Financial has not legally registered under the address mentioned above (No. 460 Xin Ji Road Section 4,
Xinyi, Taipei, Taiwan).

The FSC thus advises the investors against responding to any offers of investment services made in the name of Liberty Stone Financial and against transferring money to any account number they might mention.

Company: Furlow Capital
Posted by: Financial Supervisory Commission, Chinese Taipei
Comments: Furlow Capital claims to be an offshore asset management firm with offices at No. 460 Xin Ji Road Section 4, Xinyi, Taipei, Taiwan. Our records show that Furlow Capital does neither have a license in Taiwan to conduct securities businesses nor have an authorization to offer investment services. Besides, Furlow Capital has not legally registered under the address mentioned above (No. 460 Xin Ji Road Section 4, Xinyi, Taipei, Taiwan).

The FSC thus advises the investors against responding to any offers of investment services made in the name of Furlow Capital and against transferring money to any account number they might mention.
Company: Blue Tax Group S.A.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Wallis Partridge LLC
Link: https://www.bcsc.bc.ca/cautionperson.aspx?id=19556
Posted by:  British Columbia Securities Commission, British Columbia
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 April 2014

Added (5)

Company: ING BANK N.V. (clone of EEA authorised firm)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: clone of EEA authorised firm
Company: Zagreb Commerce Bank Switzerland
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=428
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Wilkins Capital Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Wilkins Capital Group is not authorised to provide
investment services in Ireland. The firm purports to be based in the USA.
Company: BNY Mellon Wealth Management (clone of authorised firm)
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Capital Hill Group
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 April 2014

Added (15)

Company: Davis Ward & Beck Partners LLC
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport. 
Company: Century Direct Group Ltd
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets,
Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport. 
Company: Lansley Everett and Moore LLC 
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets,
Netherlands, The
Comments:  The warning list “boiler rooms” contains the names of
companies that have approached persons without being asked, to offer them
investment proposals. The AFM has established that the companies that are
included in this warning list do not have an AFM license or a European
Passport.
Company: TJB Trading
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-buitenland/t.aspx
Posted by: The Netherlands Authority for the Financial Markets,
Netherlands, The
Comments: The warning list “boiler rooms” contains the names of
companies that have approached persons without being asked, to offer them
investment proposals. The AFM has established that the companies that are
included in this warning list do not have an AFM license or a European
Passport.
Company: Asian Futures Trading Group
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Universal Finance Bank
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Clearskies Group Ltd, Neltom Ltd and GF Trades
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Ashland Mergers & Acquisitions Management and Management and Offshore Securities Acquisition Commission
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Advantage Asset Management
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1258
Posted by: Securities and Futures Commission, Hong Kong
Company: Thomas Greene & Partners
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1257
Posted by: Securities and Futures Commission, Hong Kong
Company: LSE Wealth Management Inc
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Morris Capital Partners
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Next Venture Management
Link:  https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=427
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland
Company: TJB Trading
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: BFXOption
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

12 April 2014

Added (13)

Company: Lloyds International S.A.
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19484
Posted by: British Columbia Securities Commission, British
Columbia
Company: Baltic Bank/Baltic Trust Bank KB/Baltic Trust KB
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: SVS Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone FCA Authorised Firm
Company: Edward Evans
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ONTIMA Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: MyPaid Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: BlackRock Offshore Bullion Investment Fund
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by Financial Conduct Authority, United Kingdom
Comments: (Non-existent Fund falsely purporting to be from an
FCA Authorised Firm)
Company: FXDealer, FX Dealer, FX Direct Dealer or Fxdealer.us and Sky Forex or Sky Forex Europe
Link: http://www.fxdealer.us/ and http://www.skyforex.org.uk/
Posted by: Malta Financial Services Authority, Malta
Company: Stanford Crown Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Alternative Markets
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=426
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: World Trade Consortium
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/world-trade-consortium.html
Posted by: Financial Market Authority, Austria
Company: Bronte Financial
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/bronte-financial.html
Posted by: Financial Market Authority, Austria
Company: www.cantormarketstrade.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1254
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

5 April 2014

Added (14)

Company: Kingston Financial Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Falsely claims to be FSA / FCA authorised
Company: Rodeler Limited
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140403_rodeler-limited.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Rodeler Limited doing business as 24option.com, 24fx.com, zoneoptions.com, grandoption.com and binaryoption-affiliate.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Alliance Capital Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Forex Options Trading Clearing
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_forex-options.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Forex Options Trading Clearing doing business as
forexoptionstraderplatform.com, mylloydstrader.com and mynctrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Delta Clearing Inc.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_delta-clearing.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Delta Clearing Inc. is not registered to engage in the
business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Lloyds International, S. A.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_lloyds-international.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Lloyds International, S. A. doing business as http://lloydsint.com and mylloydtrading.com is not registered to engage in the business of (i) trading in securities or (ii)
advising anyone with respect to investing in, buying or selling securities.
Company: HR Investment Group (a.k.a. High Returns Investment
Group)
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19458
Posted by: British Columbia Securities Commission, British
Columbia
Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments: Falsely claims to be FCA authorised
Company: RBC Wealth Management / Royal Bank of Canada Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of trading style of UK FCA Authorised and affiliated Genuine Firms
Company: Furlow Capital
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1253
Posted by: Securities and Futures Commission, Hong Kong
Company: Asian Acquisition Oversight Commitee
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Universe Citizen Limited (trading as FXCitizen)
Link:  http://www.sfc.hk/web/EN/alert-list/u.html#1252
Posted by: Securities and Futures Commission, Hong Kong
Company: The Woo Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1251
Posted by: Securities and Futures Commission, Hong Kong
Company:  DECLERCK - IZURO - DC - DCMI-U - ERMIS
Link:  http://www.fsma.be/en/Consumers/press/Article/press/warnfsma/2014/2014-03-26_guydeclerckizurodcdcmiuermis.aspx
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning

Deleted (2)

Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Card & Cash Solutions GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=408
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

31 March 2014

Added (8)

Company: Walters Capital Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Walters Capital Group is not authorised to provide investment services in Ireland. The firm purports to be based in USA.
Company: TJB trading
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=425
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Morris & Dazz Asset Evaluators Ltd.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Blue Ribbon Financial
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Ashland Mergers & Acquisitions Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Ashland Mergers & Acquisitions Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
Company: Vantage Capital Research
Link: http://www.sfc.hk/web/EN/alert-list/v.html#1249
Posted by: Securities and Futures Commission, Hong Kong
Company: Herrington Global
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1247
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

22 March 2014

Added (19)

Company: Ko Sin Corporation Limited
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1246
Posted by: Securities and Futures Commission, Hong Kong 
Company: Karatbars
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-karatbars.html
Posted by: Autorité des marchés financiers, Quebec
Company: Capital Strategies SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=424
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Wealth Planning Solutions Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an EEA authorised firm
Company: Devonshire Holdings
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA registered firm
Company: Southstar Holdings Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1245
Posted by: Securities and Futures Commission, Hong Kong
Company: Southstar Asset Management Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1243
Posted by: Securities and Futures Commission, Hong Kong
Company: Southstar (Asia) Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1242
Posted by: Securities and Futures Commission, Hong Kong
Company: LSE Acquisitions
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1240
Posted by: Securities and Futures Commission, Hong Kong
Company: FIndex9.com Limited
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1237
Posted by: Securities and Futures Commission, Hong Kong
Company: IGK Broker Limited
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1236
Posted by: Securities and Futures Commission, Hong Kong
Company:  
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_warning-high-yield-investment-programs19-03-2014-09-0.html
Posted by: Autorité des marchés financiers, Quebec
Company: Global Intermediate Finance / The GIF Group / The GIF Group Zurich
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pyramid scheme investment offers
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F476a38f2-a7c9-4e64-b0e6-af22f6adadb9
Posted by: Autorité des marchés financiers, France
Comments: Warning against pyramid scheme investment offers
Company: RBOptions
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140318_rboptions.htm
Posted by: Ontario Securities Commission, Ontario
Comments: RBOptions doing business as www.rboptions.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Hartford Group International
Posted by: Financial Supervisory Commission, Chinese Taipei
Comments: Hartford Group International claims to be a brokerage firm with offices at 16 F No. 89 Songren Road, Taipei Xinyi District, Taipei, Taiwan. Our records show that Hartford Group International does neither have a license in Chinese Taipei to conduct securities firm business nor have an authorization to offer investment services. Besides, Hartford Group International has not legally registered under the address mentioned above (16 F No. 89 Songren Road, Taipei Xinyi District, Taipei).

The FSC thus advises the investors against responding to any offers of investment services made in the name of Hartford Group International and against transferring money to any account number they might mention.
Company: Frontiers Group Global Investment or Frontiers Group Investment Ltd
Link: http://frontierforex.com/
Posted by: Malta Financial Services Authority, Malta
Company: EZ Trader
Posted by: Financial Services and Markets Authority, Belgium
Coments: warning
Company: BlackRock Fund Managers Limited
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

15 March 2014

Added (26)

Company: Lin Warwick
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Herrington Global / Shenzhen Commodity Exchange
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Wealth Builder FX Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1235
Posted by: Securities and Futures Commission, Hong Kong
Company: HKOTC
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1234
Posted by: Securities and Futures Commission, Hong Kong
Company: WBlake
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_WBlake_120314_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Financial Conduct Authority
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised UCITS Fund
Company: KTC Capital Management
Link: http://www.sc.com.my/list-of-unauthorised-websites-investment-products-companies-individuals/#k
Posted by: Securities Commission, Malaysia
Company: Hong Kong Global Exchange Co. Ltd.
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1233
Posted by: Securities and Futures Commission, Hong Kong
Company: TREBOL TRADING LLC
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: WCM777
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-wcm777.html
Posted by: Autorité des marchés financiers, Quebec
Company: Token Financial
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by:  Central Bank of Ireland, Ireland
Comments:  Token Financial is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: TL Mallen, LLC.
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Wentworth Worldwide Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=423
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: FxGcmi, Global Capital Markets FX LLC or Global Capital Markets FX Ltd
Link: http://www.fxgcmi.com/
Posted by: Malta Financial Services Authority, Malta
Company: Investment Assurance Corporation
Posted by: Finansinspektionen, Sweden
Company: China International Capital Corporation Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom  
Comments: Clone of the parent company of an FCA Authorised Firm
Company: Doyle Hutton Associates
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1231
Posted by: Securities and Futures Commission, Hong Kong
Company: Armada Markets AS
Posted by: Polish Financial Supervision Authority, Poland
Company: Knox Securities Corp
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: The Corliss Group
Posted by: Finansinspektionen, Sweden
Company: World Gold GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=422
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Spencer and Richardson Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: HZ Capital
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_HZ_Capital_280214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Brevan Howard Asset Management Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1228
Posted by: Securities and Futures Commission, Hong Kong
Company: Triumph Financial Advisors Inc.
Link:  https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=421
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: The Platinum Capital Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1227
Posted by: Securities and Futures Commission, Hong Kong

Deleted (1)

Company: China Interntational Corporation Capital Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of the parent company of an FCA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 March 2014

Added (19)

Company: Toyo Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of Parent Company of Former FCA Authorised Firm
Company: Marklin Investment Group
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19202
Posted by: British Columbia Securities Commission, British
Columbia
Company: Hoover Bright Independent Finance Advisory
Posted by: Finansinspektionen, Sweden
Company: Global Brokers Asia
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hoover Bright Independent Finance Advisory
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European
Passport.
Company: SMO Fitzgerald Global
Posted by: Finansinspektionen, Sweden
Company: China Interntational Corporation Capital Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of the parent company of an FCA Authorised Firm
Company: DFM Asset Management
Link: http://www.dfsa.dk/Nyhedscenter/Pressemeddelelser/2014/Advarsel-mod-DMF-Asse-Management.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that DFM Asset Management unsolicited has offered to carry out financial services in Denmark. The company's address is 1 Robinson road; Singapore 039190. The company's homepage is http://www.dfmasset.com/

DFM Asset Management does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Abney Associates
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/2014/Advarsel-mod-Abney-associates.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Abney Associates unsolicited has offered to carry out financial services in Denmark. The company's address is 49/F Hopewell Centre, 183 Queen’s Road East, Hong Kong. The company's homepage is http://abneyassociates.com/

Abney Associates does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Trust Fund.pl
Posted by: Polish Financial Supervision Authority, Poland
Company: ADESA sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Capital Action Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1226
Posted by: Securities and Futures Commission, Hong Kong
Company: Mondiaen Banker
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_MondiaenBanker_210214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Forex
Link: http://www.lautorite.qc.ca/fr/communiques-2014-corpo.html_2014_meg-marche-devises.html
Posted by: Autorité des marchés financiers, Quebec
Company: Update - websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F65454d61-09d1-4269-a923-c7175cb1539a
Posted by: Autorité des marchés financiers, France
Comments: Update of previous warnings regarding unauthorised websites offering binary options
Company: Private Capital
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fc0d279fb-c07d-4c95-946e-88cfcc900a0e
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding Private Capital
Company: Triple A Consulting
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/triple-a-consulting.html
Posted by: Financial Market Authority, Austria
Company: Fanrong Capital
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/fanrong-capital.html
Posted by: Financial Market Authority, Austria
Company: Affluential Group Corp.
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_caution-affluential-group-corp.html
Posted by: Autorité des marchés financiers, Quebec
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

22 February 2014

Added (14)

Company: PRESTIGE BANQ
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Goldenschild Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=420
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Adlisberg Financial Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=419
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: CNB Acquisitions Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ABFX Ltd or ABFX Inc.
Link: http://www.alphabetafx.com/
Posted by: Malta Financial Services Authority, Malta
Company: Frost Capital Partners
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/frost-capital-partners.html
Posted by: Financial Market Authority, Austria
Company: Global-Consulting
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/global-consulting.html
Posted by: Financial Market Authority, Austria
Company: Eurokasse New Zealand Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/eurokasse-new-zealand-limited.html
Posted by: Financial Market Authority, Austria
Company: MilleCapitaux - Private & Investment Bankers
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_MilleCapitaux_180214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Solomon-Layb
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Solomon-Layb.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Solomon-Layb unsolicited has offered to carry out financial services in Denmark. The company's address is Roppongi-Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan. The company's homepage is www.solomon-layb.com

Solomon-Layb does not have authorisation from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Newport International Group
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Newport-International-Group.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Newport International Group unsolicited has offered to carry out financial services in Denmark. The company's address is Level 7, Toranomon 40 MT Building 5-13-1, Toranomon, Minato-ku, Tokyo, Japan. The company's homepage is http://www.newportinternationalgroup.com/

Newport International Group does not have authorisation from the Danish
Financial Supervisory Authority in accordance with the Financial Business Act
to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Koyal Group
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Koyal-Group.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments:

The Danish Financial Supervisory Authority has been informed that Koyal Group unsolicited has offered to carry out financial services in Denmark. The company's address is Arca Central Building 14F 1-2-1 Kinshi Sumida-Ku, Tokyo Japan. The company's homepage is http://www.koyalgroup.com/contact.php

Koyal Group does not have authorisation from the Danish Financial Supervisory
Authority in accordance with the Financial Business Act to carry out such
services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.

Company: Kirayaka International
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Kirayaka-International.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Kirayaka International unsolicited has offered to carry out financial services in Denmark. The company's address is 17 th. Fl., Hibiya kokusai Building. 2-3, Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011 Japan. The company's homepage is www.kirayakainternational.com

Kirayaka International does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Banque Privée Wehren & Cie
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=418
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

15 February 2014

Added (19)

Company: Palmer Smith Advisors
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Palmer_Smith_Advisors_140214EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Helvetia Wealth AG
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Helvetia Wealth AG is not authorised to provide
investment services in Ireland. The firm purports to be based in Switzerland.
Company: Schott-OFT
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1220
Posted by: Securities and Futures Commission, Hong Kong
Company: Cedar Finance / T.B.S.F. Best Strategy Finance Limited
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19152
Posted by: British Columbia Securities Commission, British
Columbia
Company: Wine Street Investment Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Wine Street Investment Management is not authorised to
provide investment services in Ireland
Company: Shearin Group
Link: http://www.finanstilsynet.dk/
Posted by: Finanstilsynet (Denmark Financial Supervisory
Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been
informed that Shearin Group unsolicited has offered to carry out financial
services in Denmark. The company's addresses are Level 3, 17 Square Edouard
VII, Paris 75009, France and 15/F Millennium City 5, 418 Kwun Tong Rd., Kwun
Tong, Hong Kong. The company's homepage is http://shearingroup.com/

Shearin Group does not have authorisation from the Danish Financial Supervisory
Authority in accordance with the Financial Business Act to carry out such
services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Investec Capital Coporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Company: Braun & Bach Finanzdienstleistungen
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=417
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bitcoin
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-bitcoin.html
Posted by: Autorité des marchés financiers, Quebec
Company: White-Miller Associates
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1219
Posted by: Securities and Futures Commission, Hong Kong
Company: Ventura Capital Consultancy Services
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a former FCA Registered Firm
Company: First Catholic Financial
Posted by: Finansinspektionen, Sweden
Company: UNIVERSUM Business Consulting Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Simple Assets Towarzystwo Funduszy Inwestycyjnych S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Asset Capital Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=416
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Axatrades
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=415
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Global Trader 365 Ltd. doing business as www.globaltrader365.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140207_global-trader-365-ltd.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Global Trader 365 Ltd. doing business as www.globaltrader365.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: HR Investment Group (aka High Returns Investment Group) doing business as www.hrinvestment.webs.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140206_hr-investment-group.htm
Posted by: Ontario Securities Commission, Ontario
  HR Investment Group doing business as www.hrinvestment.webs.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.

Deleted (1)

Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

8 February 2014

Added (8)

Company: UK RBB Barclays Business
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Authorised Firm
Company: Estlander & Ronnlund Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Cloning of EEA Authorised Firm
Company: KLMex
Posted by: Securities Commission, Malaysia
Comments: The entity named "The Kuala Lumpur Mercantile Exchange" with URL: www.klmex.org and e-mail address info@klmex.org is not an entity registered with the Securities Commission Malaysia. Any future
mercantile exchange approved by the related authorities will be officially announced through proper channels.
Company: Invest Online Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=414
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: G.W. Trust and Transfer
Link: http://www.bcsc.bc.ca/release.aspx?id=19094
Posted by: British Columbia Securities Commission, British
Columbia
Company: New Zealand Capital Finance
Link: /keep-updated/warnings,-alerts-and-scams/names-of-firms-and-individuals-to-be-wary-of#NewZealandCapitalFinance
Posted by: Financial Markets Authority, New Zealand
Comments: False/misleading advertising
Company: Danske Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Company: AFI - ALTERNATIVE FINANCIAL INVESTMENTS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom

Deleted (1)

Company: Estlander & Ronnlund Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 February 2014

Added (18)

Company: Baxter-Stanley and Associates
Posted by: Finansinspektionen, Sweden
Company: NOVA PORTFOLIO MANAGERS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of an EEA Authorsed Firm
Company: Global Investment Bank (IOM) Ltd & Global Investment Bank Offshore Services Limited
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/globalinvestment.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entities claiming to be licensed and regulated
by Isle of Man Financial Supervision Commission
Company: Winston & Churchill Private Equity
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/ralphmendoza.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be based in the Isle of Man
Company: Unauthorised entities and websites offering forex
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F29b7a04c-ee1c-4263-bfaf-f22f717caad9
Posted by: Autorité des marchés financiers, France
Comments: New updated list of websites and entities offering
forex investments.
Company: Kaizen Pacific
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=413
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: IFS – International Financial Services Inc.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=412
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: The Tunstall Group
Posted by: Finansinspektionen, Sweden
Company: Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_rhinehart-global%20.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net is not
registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: IQ Holding International S.A. doing business as www.iqhinternational.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_iq-holding.htm
Posted by: Ontario Securities Commission, Ontario
Comments: IQ Holding International S.A. doing business as www.iqhinternational.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Norex Trade Advisors
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Norex Trade Advisors doing business as www.norexadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: ProTec Advisors
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: ProTec Advisors doing business as protecadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in,
buying or selling securities.
Company: Fortress Global Markets, SARL
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Fortress Global Markets, SARL doing business as www.fxfortress.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Al Reen Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is falsely purporting to be authorised by the FCA, thereby breaching section 24 FSMA 2000
Company: Ledbury Moore
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bronte Financial
Posted by: Finansinspektionen, Sweden
Company: Furlow Capital
Posted by: Finansinspektionen, Sweden
Company: Dr. Christian Fischer
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/dr-christian-fischer.html
Posted by: Financial Market Authority, Austria
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 January 2014

Added (16)

Company: Kanagawa Associates
Posted by: Finansinspektionen, Sweden
Company: WorldBridge Securities
Link: http://www.fscmauritius.org/media/121081/investor-alert-worldbridge-securities.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Update -websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F282f5a32-f922-498e-9176-c6531d8610a6
Posted by: Autorité des marchés financiers, France
Comments: Update of warnings issued regarding websites offering binary options trading, for which no authorised investment services provider could be clearly identified
Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Redford Securities International
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Great Wall Asset Management Corp
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1215
Posted by: Securities and Futures Commission, Hong Kong
Company: AVANTI HOLDINGS-INTERFINANZAS ADVISORS CORP-IBS CONSULTING GROUP
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/215-informacion-del-mercado/varios-alertas-al-inversionista/4318-warning--non-authorized-entity--advanti-holdings-interfinanzas-advisors-corp-ibs-consulting-group
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Companies not registered
Company: NORD FX
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4320-warning--non-authorized-entity--nord-fx.html
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Sierra Finance Asset Management
Posted by: Finansinspektionen, Sweden
Company: Cayman Asset Management
Posted by: Finansinspektionen, Sweden
Company: ForexTrada
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Chelsea Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Brookes and Hargreaves
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/news/warnings/strategic-private-equity-llc
Posted by: Financial Conduct Authority, United Kingdom
Comments: Updated alert
Company: Mesirow Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: clone of FCA authorised firm
Company: FutureBarrel.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=18994
Posted by: British Columbia Securities Commission, British
Columbia

Deleted (10)

Company: Kanagawa Associates
Link:  
Posted by: Finansinspektionen, Sweden
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Saxo Capital Markets Panama, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4761-warning--non-authorized-entity-saxo-capital-markets-panama-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Trader Hawk
Link: http://www.traderhawk.pl
Posted by: Polish Financial Supervision Authority, Poland
Company: Indywidualne Biznesowe Doradztwo Finansowe Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: NOVA NEW Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: EUROMEDICUM S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Synergy Group Doradcy Finansowi
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Cash Rentier
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Lex-Security
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

18 January 2014

Added (14)

Company: MONTALVO ASSET MANAGEMENT Sàrl, en liquidation
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=411
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Galaxy Investment Management Limited
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20140116_galaxy-investment.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Galaxy Investment Management Limited doing business as
www.gimsafeinvestor.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Clairmont Capital Partners
Posted by:  Finansinspektionen, Sweden
Company: Charterhouse Wealth Management
Posted by: Finansinspektionen, Sweden
Company: IDELSON GROUP - TAIWAN OPTIONS AND FUTURES EXCHANGES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Capital Trust Management
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/capital-trust-management.html
Posted by: Financial Market Authority, Austria
Company: NEA Europe Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/nea-europe-limited.html
Posted by: Financial Market Authority, Austria
Company: Dyman Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/dyman-associates.html
Posted by: Financial Market Authority, Austria
Company: 1st American Securities
Posted by: Finansinspektionen, Sweden
Company: Glendale Growth & Trust
Link: http://www.servicenl.gov.nl.ca/securities/consumer_advisory/consumeradvisory.html
Posted by: British Columbia Securities Commission, British Columbia
Comments: The B.C. Securities Commission is posting a Consumer
Advisory on behalf of the Financial Services Regulation Division of
Newfoundland and Labrador, relating to Glendale Growth & Trust and Leonard
(Lennie) Goldman.
Company: JARVIS COHEN ASSOCIATES
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company:  Swiss Wealth Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=410
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Reid & Stone Ventures
Posted by:  Finansinspektionen, Sweden
Company: Global Brokers Asia
Link:  http://www.sfc.hk/web/EN/alert-list/g.html#1212
Posted by:  Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

11 January 2014

Added (15)

Company: RBOptions
Link: http://www.bcsc.bc.ca/release.aspx?id=18950
Posted by: British Columbia Securities Commission, British
Columbia
Company: TELETRADE
Link: http://www.cvm.gov.br/port/infos/ATO%2013442%20-%20TeleTrade%20-%20forex%20v%20site.pdf
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Webpages used by the company:
http://www.teletrade-brasil.com
and
http://teletrade.com.br
Company: Vestcor
Posted by: Finansinspektionen, Sweden
Company: Morris Capital Partners
Link: http://www.sfc.hk/web/EN/alert-list/m.html#1210
Posted by: Securities and Futures Commission, Hong Kong
Company: LifeClub International S.A and World Mazo Inc/Mymazo
Posted by: Finansinspektionen, Sweden
Company: Dyman Associates
Posted by: Finansinspektionen, Sweden
Company: Bulls Capital Markets
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Bulls_Capital_Markets_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Invest-re Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=407
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Card & Cash Solutions GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=408
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Swiss Capital and Guarantee
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=409
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Kanagawa Associates
Posted by: Finansinspektionen, Sweden
Company: Harden-Krause Private Equity Ltd
Posted by: Finansinspektionen, Sweden
Company: Ramsey Investment Partners
Posted by: Finansinspektionen, Sweden
Company: DAB Asia Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1209
Posted by: Securities and Futures Commission, Hong Kong
Company: Inter Global Equity
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1208
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

4 January 2014

Added (5)

Company: Amber Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised Firm and UK
incorporated companies.
Company: Zaklad Ekspertyz Gospodarczych Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Mintan Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Euro Asian Securities
Posted by: Securities Commission, Malaysia
Company: Westberg Equity Research Corp (WERC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: may also use the name Westburg Equity

Deleted (12)

Company: Bergmannwhite Associates
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Megakupon S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Future A S.A.
   
Posted by: Polish Financial Supervision Authority, Poland
Company: Inwestycje-Plus
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Effit Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Silver Bonds S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: BFG Home Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: THE BUSINESS GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: QUANTUM GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: BF GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: JMS Spólka z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Kasomat.pl
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

21 December 2013

Added (13)

Company: Cayman Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=406
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Wiin International Group Ltd
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=405
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Leighton Corporate Services. LLC.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Leighton Corporate Services, LLC. is not authorised to
provide investment services in Ireland. The firm purports to be based in the USA.
Company: Kingsley Advice Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets,
Netherlands, The
Comments: The warning list “boiler rooms” contains the names of
companies that have approached persons without being asked, to offer them
investment proposals. The AFM has established that the companies that are
included in this warning list do not have an AFM license or a European
Passport.
Company: Fast Line Legal
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Victory Life & Pension Assurance Company Ltd
Posted by: Finansinspektionen, Sweden
Company: HSL Acquisitions Inc / HSL Acquisitions
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1206
Posted by: Securities and Futures Commission, Hong Kong
Company: Bio-Investor Ltd.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Unauthorised entities and websites offering Forex
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F796b1686-119d-42e1-aa11-71ebc88e9eaf
Posted by: Autorité des marchés financiers, France
Comments: Updated list of websites and entities offering investments on the unregulated
foreign exchange (Forex) market in France, without authorisation to do so
Company: Areal Equity Capital AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=404
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Xinagasia Marketing Corp.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=403
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Leighton Corporate Services LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Trade Europe
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1205
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 December 2013

Added (16)

Company: Profescapital Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: CorporateBonds.pl Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: JCI Asset Inc
Posted by: Finansinspektionen, Sweden
Company: Glendale Growth & Trust
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=402
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Win Holding AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=401
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Win Energie Invest GmbH
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=400
Posted by:  Swiss Financial Market Supervisory Authority,
Switzerland
Company: Fraudsters claiming to represent the AMF
Link:  http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F92c3a3c8-7c80-4a97-93ce-c17fad9c21f8
Posted by:  Autorité des marchés financiers, France
Comments: Warning regardind fraudsters claiming to represent or
to work for the AMF and proposing trades on unauthorised binary option websites
Company: Goldman Capital
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F2a7fb701-8971-4de9-b52c-151f91958569
Posted by: Autorité des marchés financiers, France
Comments: Warning concerning Goldman Capital
Company: DeVere Group UK
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning the name and the address of the FCA
Authorised Firm.
Company: JCI Asset Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=399
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: trade-your.com
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/tradeyourcom.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be located in Isle of Man
using website www.trade-your.com
Company: Endeavour Assets
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/endeavourassets.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be located in Isle of Man
using website endeavourassets.co.uk
Company: PrivateFX
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/privatefx
Posted by: Australian Securities and Investments Commission,
Australia
Company: Xinda Management Group
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/x/xinda-management-group
Posted by: Australian Securities and Investments Commission,
Australia
Company: SCFS Trading Limited
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/s/scfs-trading-limited
Posted by: Australian Securities and Investments Commission,
Australia
Company: KSI / Karamanof (may also use Karamanof Securities
& Investment Services)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.

Deleted (1)

Company: First Swiss Capital Inc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=383
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

7 December 2013

Added (16)

Company: Dingfeng International Corporation
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1201
Posted by: Securities and Futures Commission, Hong Kong
Company: GroupCPI
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: GE Wealth Management (clone of FCA authorised firm)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial
Conduct Authority, United Kingdom
Comments: Firm is cloning the name of a FCA authorised firm. It is also using the FCA logo.
Company: Forex Worldwide Ltd and ToroPROfit
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/PressReleases/05%2012%202013%20MFSA%20WARNING%20%20-%2014%20ToroProfit.pdf
Posted by: Malta Financial Services Authority, Malta
Company: FIRKIN ASSET CONSULTANTS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Trade Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: FOREX
Link: http://www.lautorite.qc.ca/fr/communiques-2013-corpo.html_2013_meg-forex-2013-12-03.html
Posted by: Autorité des marchés financiers, Quebec
Company: CAM Energy SA
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=397
Posted by: Swiss
Financial Market Supervisory Authority, Switzerland
Company: Regium Commodity Trading Advisor Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Lee, Young & Chan
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1200
Posted by: Securities and Futures Commission, Hong Kong
Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Axis-Capital Ltd.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/axis-capital-ltd.html
Posted by: Financial Market Authority, Austria
Company: Takeshi Venture Capital
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/takeshi-venture-capital.html
Posted by: Financial Market Authority, Austria
Company: Strategic Private Equity LLC
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/strategic-private-equity-llc.html
Posted by: Financial Market Authority, Austria
Company: REALPROJECTS24 COOPERATION AG bzw. REALRPOJECTS24 COOPERATION LTD. Belize & Realprojects24 Co. LTd Thailand
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/realprojects24-cooperation-ag-bzw-realrpojects24-cooperation-ltd-belize-realprojects24-co-ltd-t.html
Posted by: Financial Market Authority, Austria
Company: Global Reach Asset Management
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/global-reach-asset-management.html
Posted by: Financial Market Authority, Austria

Deleted (2)

Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Helvetic Capital Partners AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=391
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

2 December 2013

Added (14)

Company: Fenka Rafal trytko
Posted by: Polish Financial Supervision Authority, Poland
Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Next Financial Network
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Mission Mining Company
Link: http://www.bcsc.bc.ca/release.aspx?id=18636
Posted by: British Columbia Securities Commission, British Columbia
Company: Cover Capital Partners
Posted by: Finansinspektionen, Sweden
Company: Ulverston Offshore Bank
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Ulverston-Offshore-Bank-November-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: Surplus Finance S.A.
Link: http://www.fscmauritius.org/media/106023/public_notice_-_suspension_of_licences_of_surplus_finance.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: BFS Markets Ltd
Link: http://www.fscmauritius.org/media/106019/public_notice_-_revocation_of__category_1_global_business_licence_of_bfs_markets_ltd.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: NCP Financials (may also use the name "Northland")
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised Firm
Company: www.forextotal.com
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=forextotal
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Capital Eurasia
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1198
Posted by: Securities and Futures Commission, Hong Kong
Company: Estlander & Ronnlund Capital Management 
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA Authorised Firm
Company: GLOBALEYE SPRL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Edge Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

23 November 2013

Added (9)

Company: Binary Option Live Signals
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=39
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Hadfield Resources SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=395
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Qualified FX SA doing business as qualifiedfx.com and
qualifiedfx.net
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131121_qualified-fx-sa.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Qualified FX SA doing business as qualifiedfx.com and
qualifiedfx.net is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: CAPITALES FIJOS, S. A.
Link: http://www.supervalores.gob.pa/component/content/article/215-varios-alertas-al-inversionista/5136-warning--non-authorized-entity--capitales-fijos-s-a.html?qh=YTozOntpOjA7czo5OiJjYXBpdGFsZXMiO2k6MTtzOjU6ImZpam9zIjtpOjI7czoxNToiY2FwaXRhbGVzIGZpam9zIjt9
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered.
Company: Nomura Financial
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1197
Posted by: Securities and Futures Commission, Hong Kong
Company: Allied Global Holdings
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1196
Posted by: Securities and Futures Commission, Hong Kong
Company: Zurich Private Capital HQ
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=394
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Wave Star Trading Company Ltd/ Wavestar Trading
Company Ltd/ Wavestar Mystery Forex
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1195
Posted by: Securities and Futures Commission, Hong Kong
Company: Grupo Levys Conseil et Gestion
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=393
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 November 2013

Added (14)

Company: Frost Capital Partners
Posted by: Finansinspektionen, Sweden
Company: Strategic Private Equity LLC
Posted by: Finansinspektionen, Sweden
Company: Firkin Asset Consultants
Posted by: Finansinspektionen, Sweden
Company: Aspen Capital LLC
Posted by: Finansinspektionen, Sweden
Company: Sachs Trust
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=392
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Meta Trade Forex & Finance Group Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1385/language/en-GB/Meta-Trade-Forex-Finance-Group-Inc--Advisory-Warning-No-25-of-2013-12-November-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Operating as FX Meta Trade - unauthorised investment business
Company: Helvetic Capital Partners AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=391
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Win Win International Investments Limited
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1193
Posted by: Securities and Futures Commission, Hong Kong
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Board of International Finance
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: CMBS Portfolio, LLC.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: CMBS Portfolio, LLC. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Hong Kong Eshirong Financial Investment
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1192
Posted by: Securities and Futures Commission, Hong Kong
Company: SMG Swiss Mining Group
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=390
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Banc54 / B54 Technologies Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1191
Posted by: Securities and Futures Commission, Hong Kong

Deleted (2)

Company: Strategy Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:

Clone of FCA Authorised firm.

Also trading as Pictet & Cie.

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 November 2013

Added (8)

Company: Strategy Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Zakra Corp Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Global Corporate Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: CapitalFrance
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fdeefe6e0-0d27-4436-8b72-5aad0181321c
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding CapitalFrance
Company: Rich Gold Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1188
Posted by: Securities and Futures Commission, Hong Kong
Company: Ramsey Investment Partners
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1189
Posted by: Securities and Futures Commission, Hong Kong
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:

Clone of FCA Authorised firm

Also trading as Pictet & Cie

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

3 November 2013

Added (21)

Company: Novee Forex doing business as www.noveeforex.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131030_novee-forex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Novee Forex is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Pan American Global Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: World Capital Consultants
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hudson Strategic Partners
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Sovereign Wealth Capital
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Guozijian Capital
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Foerster Consulting Ltd.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: MAV-Group Ltd.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Global Equity Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Deutsche Policen Aufwertung AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=388
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Freeman & Rosenberg Finance Solutions
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=389
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Renta 60 (Rentabilidad 60%)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Renta%2060
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: IPO S.A.
Link: http://www.iposa.pl/
Posted by: Polish Financial Supervision Authority, Poland
Company: Reichwein & Walker
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=387
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Hobart Roth LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: St. Publius Corporate Services Limited
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/AdministrativeMeasuresAndPenalties/2013_10_25%20MFSA%20Warning%2012-2013%20St%20Publius.pdf
Posted by: Malta Financial Services Authority, Malta
Company: HRD PARTICIPAÇÕES SOCIETÁRIAS LTDA.
Link: http://www.cvm.gov.br/dados/DocSai/18222CD33ECB4AAEA7A1756EF72D95EE.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/2D3E5FAABAA44DD0AB7D295DC944F2D6.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/83CB64A348A241CAA3FFE1AE8E6C42BA.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/1FC6AEC933DE48FBA4259383526DD690.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: MUGELLO REDISTRIBUIÇÃO DE ATIVOS FINANCEIROS S/A
Link: http://www.cvm.gov.br/dados/DocSai/A94CCA7FF6AD46CD810C18B1FF323E62.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 October 2013

Added (19)

Company: Specialist Investor Funds
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Total Global Equity
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1185
Posted by: Securities and Futures Commission, Hong Kong
Company: Charterhouse Wealth Management
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1183
Posted by: Securities and Futures Commission, Hong Kong
Company: Sentinel Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=386
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: IFC Independent Financial Consultants
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=385
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Hanover Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Quinn & Voakes Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: HÉTILO DO BRASIL EMPREENDIMENTOS LTDA. ME
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli716.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities through the page http://www.villagedaspedras.com.br
Company: EZTrader / WGM Services Ltd.
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=18386
Posted by: British Columbia Securities Commission, British Columbia
Company: Hoden International Clearing
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: 1st Edge Financial Bank of the United Kingdom
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Ellis Harper & Co LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Swiss Capital Inc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=383
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: PIM-Handel AG Schweiz
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=384
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Asset Capital Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=382
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Brewer Consulting Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Forex
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_meg-forex-an.html
Posted by: Autorité des marchés financiers, Quebec
Company: Zenith FUND SA - SICAV- SIF
Posted by: Polish Financial Supervision Authority, Poland
Company: Steinberg Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 October 2013

Added (6)

Company: Glover Capital Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Progression Mergers & Acquisitions
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport
Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Redevelopment Corporation International Ltd
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/AdministrativeMeasuresAndPenalties/2013_10_14%20MFSA%20Warning%2011-2013.pdf
Posted by: Malta Financial Services Authority, Malta
Comments: Redevelopment Corporation International Ltd (operating under trade name “FOREXPERTI” - https://www.forexperti.com/)
Company: IP INTERNATIONAL SERVICE,TRADING CORPORATION,BANK OF BROKER,IKKOTRADER,TRADER369,AJ BROWDER CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning

Deleted (2)

Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 October 2013

Added (13)

Company: MD Costa Rica Invest (Ireland)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131010_md-costa-rica.htm
Posted by: Ontario Securities Commission, Ontario
Comments: MD Costa Rica Invest (Ireland) doing business as http://www.costaricainvest.ie not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: PRG Global Group, Canada doing business as http://timprg.wix.com/prg-group-canada
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131010_prg-global.htm
Posted by: Ontario Securities Commission, Ontario
Comments: PRG Global Group, Canada and PRG Global Realty, Canada doing business as http://timprg.wix.com/prg-group-canada and http://www.naturewalkcostarica.com are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ROWE CORPORATE SERVICES
Link: http://www.fca.org.uk/news/warnings/rowe-corporate-services
Posted by: Financial Conduct Authority, United Kingdom
Company: FIL Investment Management
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1181
Posted by: Securities and Futures Commission, Hong Kong
Company: KAIROS CONSULTORIA E INVESTIMENTOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli715.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized portfolio management services through the internet webpage: www.kairosinvestimentos.com.br
Company: Windsor Finance Group
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1179
Posted by: Securities and Futures Commission, Hong Kong
Company: Hong Kong Business Information Registry
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1178
Posted by: Securities and Futures Commission, Hong Kong
Company: Hodyer Asia / Hodyer Asia Assets Management Inc / Hoyder Investment Group
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1177
Posted by: Securities and Futures Commission, Hong Kong
Company: Northern Capital Consultants
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bloomfield Advisory
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Swiss Capital Alternatives
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=381
Posted by: Swiss Financial Market Supervisory Authority, Switzerland

Deleted (1)

Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

5 October 2013

Added (28)

Company: Mundial Securities
Link: http://www.sfc.hk/web/EN/alert-list/m.html#1176
Posted by: Securities and Futures Commission, Hong Kong
Company: Stowford & Proctor Asset Management
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1175
Posted by: Securities and Futures Commission, Hong Kong
Company: Risk Capital International (doing business as riskcapitalint.com and www.riskcapitalfx.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131003_risk-capital.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Risk Capital International is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: B.H. Global France
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company:  
Link: http://www.hcmc.gr/photos/kefalaiagora/files/WARNING_A.KONSTANTINIDIS_2_10_13_.pdf
Posted by: Hellenic Republic Capital Market Commission, Greece
Company: Accredited International
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130930_accredited-international.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Accredited International doing business as www.accreditedfx.com.com and accreditedoffshore.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Conquest Private Equity LLC
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/?query=C
Posted by: Finansinspektionen, Sweden
Company: Warning against Unsolicited Offers
Link: http://www.fscmauritius.org/media/102435/warning_against_unsolicited_offers.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: FX Core/ FxCORE
Link: http://www.fscmauritius.org/media/102433/fx_core_fxcore.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Hayes Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Accer Mergers & Acquisitions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: FX Zenith Limited
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=380
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: North Corp International
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1173
Posted by: Securities and Futures Commission, Hong Kong
Company: First Data Limited
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/firstdataltd.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogius entity using website http://firstdata.im
purporting to be based in Isle of Man
Company: Hayes Capital
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Hayes-Capital-September-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/686F4C033B6842E881720DCD3A0BC453.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/0769FD8313164AEB9EA0FD3A567F6838.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/EB5ED70E3C7541A38444BEDA427F1B49.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/4BF06DC1FD7746C9B7282773FA2F8266.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: Innovative Securities Limited
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Klub Zamoznego Inwestora
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Sompo Capital Group
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1172
Posted by: Securities and Futures Commission, Hong Kong
Company: Oriental Financial Service
Link: http://www.sfc.hk/web/EN/alert-list/o.html#1171
Posted by: Securities and Futures Commission, Hong Kong
Company: Nomura Asset Management
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1169
Posted by: Securities and Futures Commission, Hong Kong
Company: Yad Lan Investments
Link: http://www.sfc.hk/web/EN/alert-list/y.html#1168
Posted by: Securities and Futures Commission, Hong Kong
Company: Financial Center Partners
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1167
Posted by: Securities and Futures Commission, Hong Kong
Company: Baker Boyd Associates
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1166
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

21 September 2013

Added (7)

Company: Zurich Private Equity AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=377
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Otto Investments
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Touchwood Ltd
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Safecap Investments (Poland) Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Waterman Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Objective Returns PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Registered Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 September 2013

Added (21)

Company: Direct Mergers and Acquisitions Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Sovereign International Worldwide Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1375/language/en-GB/Sovereign-International-Worldwide-Limited--Advisory-Warning-No-24-of-2013-12-September-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: Sovereign International Ltd.
Advisory warning - unauthorised investment broker
Company: 5LINX Enterprises Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1374/language/en-GB/5LINX-ENTERPRISES-INC--Advisory-Warning-No-23-of-2013-12-September-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - unauthorised investment business
Company: The Corliss Group
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/2013/Advarsel-The-Corliss-Group.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that The Corliss Group unsolicited has offered to carry out financial services in Denmark. The company has offices in Barcelona and Hong Kong. The company's homepage is http://thecorlissgroup.com/.

The Corliss Group does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Company: Access Finance PLC
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Access-Finance-PLC-September-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: Hamilton International Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Hamilton International Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Sureland Investment Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/sureland-investment-limited.html
Posted by: Financial Market Authority, Austria
Company: Solomon Layb
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/solomon-layb.html
Posted by: Financial Market Authority, Austria
Company: Schwartz Invest
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/schwartz-invest.html
Posted by: Financial Market Authority, Austria
Company: Summit Capital Management
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-buitenland/s.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: FIL Investment Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised (Schedule 5) firm
Company: Byrd Fleming and Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Grand Meridian Private Equity Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: G6 Trading doing business as www.gcitrading.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130910_g6-trading.htm
Posted by: Ontario Securities Commission, Ontario
Comments: G6 Trading doing business as www.gcitrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Brien Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1165
Posted by: Securities and Futures Commission, Hong Kong
Company: Gould Ventures Group
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1164
Posted by: Securities and Futures Commission, Hong Kong
Company: Hong Kuang
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1163
Posted by: Securities and Futures Commission, Hong Kong
Company: Sentinel Equity Inc
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1162
Posted by: Securities and Futures Commission, Hong Kong
Company: Norris Jardine Newell Equities
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1161
Posted by: Securities and Futures Commission, Hong Kong
Company: Messrs Leroy and Grecy
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fa1a1eebb-ebbc-4084-a54c-b18b35949cdd
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding the activities of persons purporting to be Mr Franck LEROY and Mr Nicolas GRECY from the company “AMF” (Autorité Money Forex).
Company: GCI Financial LLC. (doing business as www.gcitrading.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130828_gci-financial.htm
Posted by: Ontario Securities Commission, Ontario
Comments: GCI Financial LLC is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

 

7 September 2013

Added (24)

Company: International Youtrade Investments MA Ltd
Link: http://www.fscmauritius.org/media/101999/youtrade.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Panchshil Healthcare Ltd
Link: http://www.fscmauritius.org/media/102003/panchshil.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Opstock Ltd (Clone of authorised firm)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm
Company: Update-websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html
Posted by: Autorité des marchés financiers, France
Comments: Update of warning on websites offering binary options dated 1 August 2013
Company: Mayer Kaufman Private Bankers
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Mayer_Kaufman_Private_Bankers_040913_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: NZ Financial Capital Limited
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_NZ_Fin_Cap_040913_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Alliance Partnership
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised firms.
Company: http://fxaxa.co.uk
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/axaisleofmanlimi.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus website claiming to be linked to genuine Isle of Man company
Company: Brent Technologies
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/bogusoffersofemp5.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus job opportunities being offered int eh Isle of Man
Company: Standard Trust Finance Bank
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/standardtrustfin.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus company claiming to be domiciled in the Isle of Man
Company: World Systems Market LLC
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_world_system_market_llc.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that World Systems Market LLC, which is offering trading on the forex market in Czech via a web presentation at http://www.i-wsm.com/cz.aspx, currently has no authorisation to provide investment or any other services on the financial market in the Czech Republic.
Company: Hong Kong Shanghai Board Options Exchange
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1160
Posted by: Securities and Futures Commission, Hong Kong
Company: Consorteum Holdings Inc
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/consorteum-holdings-inc
Posted by: Australian Securities and Investments Commission, Australia
Company: Indochine Nominees Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/indochine-nominees-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Lucky Pearl Investments Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/l/lucky-pearl-investments-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Capital Alliance International
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/capital-alliance-international
Posted by: Australian Securities and Investments Commission, Australia
Company: Gordon Vaughn and Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/g/gordon-vaughn-and-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: International Commission of Securities
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/international-commission-of-securities
Posted by: Australian Securities and Investments Commission, Australia
Company: Twin Royale International
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/t/twin-royale-international
Posted by: Australian Securities and Investments Commission, Australia
Company: Madley Capital Management Limited
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/m/madley-capital-management-limited
Posted by: Australian Securities and Investments Commission, Australia
Company: Cambros Capital Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/cambros-capital-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Private Venture Capital Group
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/private-venture-capital-group
Posted by: Australian Securities and Investments Commission, Australia
Company: R&G Securities & Transfers Inc
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/r/rg-securities-transfers-inc
Posted by: Australian Securities and Investments Commission, Australia
Company: Paulson Management LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/paulson-management-llc
Posted by: Australian Securities and Investments Commission, Australia
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

31 August 2013

Added (88)

Company: Fortress Global Markets
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17984
Posted by: British Columbia Securities Commission, British Columbia
Company: Norex Trade Advisors
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17982
Posted by: British Columbia Securities Commission, British Columbia
Company: Mitsubishi UFJ Morgan Stanley Securities Co. Ltd
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a Japanese firm.
Company: SCOTT FISCHER CONSULTANCY
Link: http://www.fca.org.uk/news/warnings/scott-fischer-consultancy
Posted by: Financial Conduct Authority, United Kingdom
Company: Nomos Wealth Management
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: JORDAN PARKINSON GROUP
Link: http://www.fca.org.uk/news/warnings/jordan-parkinson-group
Posted by: Financial Conduct Authority, United Kingdom
Company: Health Insurances Contor AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=376
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Swiss Investor Club AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=375
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Blue Sky Group Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: www.rtronx.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1157
Posted by: Securities and Futures Commission, Hong Kong
Company: www.bimforex.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1158
Posted by: Securities and Futures Commission, Hong Kong
Company: Global Reach Asset Management
Link: http://www.finanstilsynet.dk
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Global Reach Asset Management from Hong Kong unsolicited has offered to carry out financial services in Denmark.
Company: FXHelpers, The (doing business as www.thefxhelpers.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130820_fxhelpers.htm
Posted by: Ontario Securities Commission, Ontario
Comments: TheFXHelpers is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Temple Nugent Capital Management / Temple and Nugent Investments
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: NCL Group (UK) Ltd
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1156
Posted by: Securities and Futures Commission, Hong Kong
Company: Capital Finance Group Hong Kong Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1155
Posted by: Securities and Futures Commission, Hong Kong
Company: Dinosaur Investor Services (UK) Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1152
Posted by: Securities and Futures Commission, Hong Kong
Company: Dinosaur Assets Management (HK) Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1153
Posted by: Securities and Futures Commission, Hong Kong
Company: www.gwtrade.hk
Link: http://www.sfc.hk/web/EN/alert-list/chinese.html#1151
Posted by: Securities and Futures Commission, Hong Kong
Company: Rich Gold Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1150
Posted by: Securities and Futures Commission, Hong Kong
Company: Wineburg Corporate Insurance
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Western Transfers Company
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Wahrburg Moss
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: VipBinary, a.k.a. Vip Binary
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tudor Capital Group, a.k.a. Tudor Capital Global Financial Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Treadstone Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TMRTrust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TradersRoom
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tompkins, Price & Walker
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TMRTrust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: The Firm Inc., a.k.a. The Ottoman Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TDB Financial Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Swinson Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Stamford Niles Equities, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Smith and Lockhart Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Senaca Stock Transfer Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Ryan & Mahar, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regent Consolidated
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regent & Langley Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: RBM International Limited
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Private Fund Management S.A.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Prime Acquisitions Group, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Plutus Private Equity LLP
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Phenix Digital Solutions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Peterson Advisors Limited, a.k.a. Peterson Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Pelican Trading Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Parker & Masters LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: New England Private Equity, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: MCT International Investments
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mayer and Connolly LLP
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Maxwell Consultancy Limited
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Manhattan Corporate Transfers
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Kiefer Business Services LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Keystone Global Marketing
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Johnson McQuade Acquisitions Corp.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Integrated Tax
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hendricks & Hurst
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Heale Financial LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hammond Global Solutions LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: H. Taft Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenwood Capital Advisors
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenfield and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Green Wave Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Graham, Morrison, and Wilson, a.k.a. GMW Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Giles and Hochman Consulting
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Franklin Rankin, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: First Private Equity Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Financial Affairs Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Feinler Management Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Federal Asset Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Endeavour Mergers and Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Davidson Capital Partners
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Continental Private Equity LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Commodity Compliance Services, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Cohen Corporate Consulting
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Chartered Capital Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Capital Insurance Group Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Brown and Wenger Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Bramwell & Kent Consultants, LLC.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Brady & Bell Acquisition Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Banner Commodities
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Atlas Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: ATG Capital Solutions, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Apollo Global Securities LLC. (sic)
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: ACT Transfer Services
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Conquest Private Equity LLC
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/conquest-private-equity-llc.html
Posted by: Financial Market Authority, Austria
Company: Lexington International Group Inc.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/lexington-international-group-inc.html
Posted by: Financial Market Authority, Austria

Deleted (1)

Company:  
Link:  
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

17 August 2013

Added (13)

Company: MKR Global Services LLC
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Eclipse Options Ltd Europe / Eclipse Trading
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of Hong Kong and UK
incorporated firms.
Company: AXA Isle of Man
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
Company: Dean Capital Canada Ltd., doing business as Dean Capital Group
Link: https://www.osc.gov.on.ca/en/Investors_wl_20130815_dean-capital-group.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Dean Capital Canada Ltd., doing business as www.deancapitalgroup.com, and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Forexoma Ltd
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1149
Posted by:  Securities and Futures Commission, Hong Kong
Company: www.saxoforex.hk, www.saxoworld.com.hk
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1148
Posted by: Securities and Futures Commission, Hong Kong
Company: Standard Wealth Management Limited
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1147
Posted by:  Securities and Futures Commission, Hong Kong
Company: Future Trend Investment Holding Limited
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1146
Posted by: Securities and Futures Commission, Hong Kong
Company: East Cape Mining Corporation
Link:  http://www.sfc.hk/web/EN/alert-list/e.html#1145
Posted by: Securities and Futures Commission, Hong Kong
Company: GMO Global
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1144
Posted by: Securities and Futures Commission, Hong Kong
Company: Arrow Capital Partners
Link:  http://www.sfc.hk/web/EN/alert-list/a.html#1143
Posted by:  Securities and Futures Commission, Hong Kong
Company: Cadell Acton Group International
Link:  http://www.sfc.hk/web/EN/alert-list/c.html#1142
Posted by:  Securities and Futures Commission, Hong Kong
Company: Wainwright Wealth Management / Wainwright Finance
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

10 August 2013

Added (34)

Company: White Plains International Securities
Posted by: Financial Conduct Authority, United Kingdom
Company: CV Global Corp LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Department of Foreign Investment Control
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/d/department-of-foreign-investment-control
Posted by: Australian Securities and Investments Commission, Australia
Company: VCC International Group Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/v/vcc-international-group-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: TM Capital Corp / Thomson McKinnon Capital Corp
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/t/tm-capital-corp-thomson-mckinnon-capital-corp
Posted by: Australian Securities and Investments Commission, Australia
Company: Key Value Wealth Management
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/k/key-value-wealth-management
Posted by: Australian Securities and Investments Commission, Australia
Company: Raimon & Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/r/raimon-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: Bureau of International Securities Trading
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/b/bureau-of-international-securities-trading
Posted by: Australian Securities and Investments Commission, Australia
Company: Adolphe Financial Management
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Adolphe_Financial_Management_080813_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Banc de Binary
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_caution-banc-de-binary.html
Posted by: Autorité des marchés financiers, Quebec
Company: DENKO GROUP and WILTSHIRE CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Champel Private Equity SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=374
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: TradeRush.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17810
Posted by: British Columbia Securities Commission, British Columbia
Company: GOptions.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17806
Posted by: British Columbia Securities Commission, British Columbia
Company: 24option.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17808
Posted by: British Columbia Securities Commission, British Columbia
Company: Lexington International Group Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Miles Corporate Services
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company:  KKR
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised firms.
Company: Saba Capital Management
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1141
Posted by:  Securities and Futures Commission, Hong Kong
Company:  Commodity Options Security Exchange
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1140
Posted by:  Securities and Futures Commission, Hong Kong
Company: Hang International
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1139
Posted by: Securities and Futures Commission, Hong Kong
Company: VCC International Group Ltd
Link: http://www.sfc.hk/web/EN/alert-list/v.html#1138
Posted by: Securities and Futures Commission, Hong Kong
Company: HenryFX
Link:  http://www.sfc.hk/web/EN/alert-list/h.html#1137
Posted by:  Securities and Futures Commission, Hong Kong
Company:  Guardian Swiss Trust AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=373
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Braun and Brandt Consulting Firm
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: SevenTrades Global Markets Ltd.
Link:  http://www.fscmauritius.org/media/98962/investor-alert-seventrades-global-markets-ltd.pdf
Posted by:  Financial Services Commission, Mauritius, Republic of
Company: Bergmannwhite Associates
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company:  INI Securities GmbH
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company:  Travaled Enterprises Limited
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company: Blue Dome Partners
Link:  http://www.sfc.hk/web/EN/alert-list/b.html#1135
Posted by: Securities and Futures Commission, Hong Kong
Company: Bergmannwhite Associates
Link:  http://www.sfc.hk/web/EN/alert-list/b.html#1134
Posted by:  Securities and Futures Commission, Hong Kong
Company: Credit Union Group S.A.
Link:  http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4936-warning--non-authorized-entity-credit-union-group-sa-.html
Posted by:  Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company:  Swiss Guarantee Bank plc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=372
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland
Company: BNP Paribas Bank
Link:  http://www.jerseyfsc.org/pdf/Public_Statement_BNP_Paribas_Bank_July_2013.pdf
Posted by:  Jersey Financial Services Commission, Jersey
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

27 July 2013

Added (29)

Company: Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: Fusion Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Fidelity Global Recovery
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Rubin Price Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Dean Witter Consultancy
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Rapid Exchange / Rapid Gold Inc.
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1133
Posted by: Securities and Futures Commission, Hong Kong
Company: GERABANK ADMINISTRAÇÃO DE INVESTIMENTOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli713.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized portfolio management through the internet
webpage: http://www.gerabank.com.br
Company: MTR Global
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17730
Posted by: British Columbia Securities Commission, British
Columbia
Company: BH FRANCE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: BRIDGESTONE TRADING
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: JONES FALLS SECURITIES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: FINANCIAL ADVISORS ONLINE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Apex International Consulting Group
Posted by: http://www.jerseyfsc.org/pdf/Public_Statement_Apex_International_Consulting_Group_July_2013.pdf
Comments: Jersey Financial Services Commission, Jersey
Company: www.4xp.com
Link: http://www.cvm.gov.br/dados/DocSai/FFF38596E6C14B0584824B1CEDEE6869.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Company: www.forexyard.com
Link: http://www.cvm.gov.br/dados/DocSai/FFF38596E6C14B0584824B1CEDEE6869.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/3A3C295B983443B7A579EDF2A568D14A.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/B590A8EEBE9D48759FCDC43F59A47F6D.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/DCD4994A09274FADA94D02B6F3EDABEC.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/B25B3D9FCB2E449B96637FF6E87B05D7.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/09290F3BD08C479BA7773F1AA76B9536.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/E6DCFA5F97BE48AD9181D516EC5C3571.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/D74BA9045EC44858B06C74C2F5C46412.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to act as a broker, buy or sell
securities and to act as a Proxy regarding any securities transactions.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/ABEB8A02D2DC42429FE664B4EE51493B.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/E0CA130C72B84712AD25CCA01E9E88EE.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: OBJETIVA GESTÃO E VENDAS S/S LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli712.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities
through the page http://www.objetivaconsorcio.com.br
Company: BWM INVESTMENTS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli711.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to publicly offer investment fund quotas
and security services through the internet webpage: http://www.bwminvestments.com
Company: MIDAS INVESTIMENTOS IMOBILIÁRIOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli705.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities
through the page https://www.facebook.com/MidasInvestimentos
Company: United Capital Forex Limited
Link: http://www.fscmauritiud.org/media/96818/united-capital-forex_limited.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company:  Araxo Technologies Ltd (“Araxo4x”)
Link: http://www.fscmauritius.org/media/96815/araxo-technologies-ltd.pdf
Posted by: Financial Services Commission, Mauritius, Republic of

Deleted (1)

Company: RWANDA CASH
Link:  
Posted by:  Financial Services and Markets Authority, Belgium
Comments: warning
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

13 July 2013

Added (17)

Company: www.axa-a.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1117
Posted by: Securities and Futures Commission, Hong Kong
Company: http://azentuscapitalmanagement.com
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1115
Posted by: Securities and Futures Commission, Hong Kong
Company: http://azentus-capital.com
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1116
Posted by: Securities and Futures Commission, Hong Kong
Company: JP Premier International Holdings Limited
Link: http://www.sfc.hk/web/EN/alert-list/j.html#1114
Posted by: Securities and Futures Commission, Hong Kong
Company: AWI Financial
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1113
Posted by: Securities and Futures Commission, Hong Kong
Company: Jin Yu Heng Tong Investment Co Ltd
Link: http://www.sfc.hk/web/EN/alert-list/j.html#1112
Posted by: Securities and Futures Commission, Hong Kong
Company: Dupont Securities
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1111
Posted by: Securities and Futures Commission, Hong Kong
Company: Leonard Ullrich Neuman
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1110
Posted by: Securities and Futures Commission, Hong Kong
Company: IC Markets Hong Kong
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1109
Posted by: Securities and Futures Commission, Hong Kong
Company: DS Forex
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1108
Posted by: Securities and Futures Commission, Hong Kong
Company: www.franklinfund.us
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1107
Posted by: Securities and Futures Commission, Hong Kong
Company: www.shifu1.com
Link: http://www.sfc.hk/web/EN/alert-list/chinese.html#1104
Posted by: Securities and Futures Commission, Hong Kong
Company: Capstone Capital Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ESIP Finance
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA EEA Authorised firm.
Company: Infineo24
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html

Posted by: 

Polish Financial Supervision Authority, Poland
Company: Factor Consulting Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Unterstützungskasse für Arbeitnehmerschutz und
Vorsorge
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/unterstuetzungskasse-fuer-arbeitnehmerschutz-und-vorsorge-2.html
Posted by: Financial Market Authority, Austria
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

6 July 2013

Added (12)

Company: The Best Investment Guide
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is using similar name to FSA Authorised firms which are in no way linked to this company.
Company: AJ Nelson Consultants LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: INTELLIGENT TRADING CORP.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4903-warning--non-authorized-entity--intelligent-trading-corp.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Q-BUSINESS SPRL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: EDMUND ROME CORPORATE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Sheppard Capital Partners
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Wentworth Worldwide Ltd
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Stargate Advisors Limited
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: M&B Capital Advisers
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=b%20capital%20advisers
Posted by: Comisión Nacional del Mercado de Valores, Spain
Comments: This entity does not have any relationship with the Spanish entity M&B Capital Advisers, S.A. that until 2012 was registered as a broker-dealer in the CNMV under the name M&B Capital Advisers, S.A. Sociedad de Valores.
Company: Investment House Limited
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=investment%20house%20limited
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Apex International Consulting Group (AICG)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Global Mergers Corporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

 

29 June 2013

Added (123)

Company:  Novum Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
Company: Legacy Capital Management
Link:  http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by:  Central Bank of Ireland, Ireland
Comments:  Legacy Capital Management is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: JW. Capital Management Corporation
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company: Hanson Business Services LLC
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Krisworld Development Limited doing business as
binaryoptionsxposed.com
Posted by:  Ontario Securities Commission, Ontario
Comments:  Krisworld Development Limited doing business as binaryoptionxposed.com, option-world.com, bank-options.com and signaliforex.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: HFX Global Ltd. doing business as hfx.com
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_hfx-global.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  HFX Global Ltd. doing business as hfx.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: European Caribbean Financial Group Ltd
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  European Caribbean Financial Group Ltd. (Belize) and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities. 
Company:  Vault Emerging Market Treasuries Ltd
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Vault Emerging Market Treasuries Ltd. (Canada) and its
affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Questus Global Capital Market Ltd.
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  Questus Global Capital Market Ltd. (Canada) and its
affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Leonard Ullrich Neumann
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a previously FCA EEA
Authorised firm.
Company: Altree Financial Group
Link:  http://www.sfc.hk/web/EN/alert-list/a.html#1102
Posted by:  Securities and Futures Commission, Hong Kong
Company: Securities Africa
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1101
Posted by:  Securities and Futures Commission, Hong Kong  
Company: The Avanti Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1100
Posted by: Securities and Futures Commission, Hong Kong
Company:  Flex Capital Partners
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1098 
Posted by:  Securities and Futures Commission, Hong Kong
Company:  www.jiashivip.net
Link:  http://www.sfc.hk/web/EN/alert-list/w.html#1097
Posted by:  Securities and Futures Commission, Hong Kong
Company: Capital Alliance International
Link:  http://www.sfc.hk/web/EN/alert-list/c.html#1096
Posted by:  Securities and Futures Commission, Hong Kong
Company: First Laurel Capital
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1095
Posted by:  Securities and Futures Commission, Hong Kong  
Company: Hamilton Financial Services
Link:  http://www.sfc.hk/web/EN/alert-list/h.html#1094
Posted by:  Securities and Futures Commission, Hong Kong
Company: TraderXP Ltd. (doing business as www.traderxp.com)
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20100112_titan-resources.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  TraderXP Ltd., doing business as traderxp.com, is not
registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: XFR Financial Ltd., also known as O.C.M. Online
Capital Markets Ltd.
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130626_xfr-financial.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: XFR Financial Ltd., also known as O.C.M. Online Capital Markets Ltd., (doing business as www.xforex.com and www.askobid.com), is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Kenzar Consulting Inc. (doing business as www.kenzarfx.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130626_kenzar.htm
Posted by:  Ontario Securities Commission, Ontario  
Comments:  Kenzar Consulting Inc., doing business as kenzarfx.com, is not registered to engage in the business of (i) trading in securities
or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: International Brokers Worldwide
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Billmen & Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Davis & Co LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of UK incorporated firm.
Company: Swan Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bradley King M & A
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Eurotex Global Savings and Trust, S.A.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=eurotex%20global%20savings%20and%20trust
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Swiss8, S.A.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=swiss8
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Telemar Data Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Telemar Data Management is not authorised to provide investment services in Ireland. The firm purports to be based in Brazil.
Company: Coleman and Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: MM Institutional
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Registered Firm
Company: AdvisorCorp Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Equiniti Registrars Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: WBS Holding Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1366/language/en-GB/WBS-Holding-Ltd--Advisory-Warning-No-22-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Forex Place Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1365/language/en-GB/Forex-Place-Ltd--Advisory-Warning-No-21-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: BForex Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1364/language/en-GB/BForex-Limited--Advisory-Warning-No-20-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Nova Tradex Financial Holdings Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1363/language/en-GB/Nova-Tradex-Financial-Holdings-Ltd--Advisory-Warning-No-19-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Paxinvest.com Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1362/language/en-GB/Paxinvestcom-Limited--Advisory-Warning-No-18-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorized investment business
Company: Logic Invest
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Goldberg Capital Group Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning names of a number of FCA Approved Persons.
Company: Interactive Investor Trading Limited / Share Price UK
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: Kendall Morgan Partners
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1093
Posted by: Securities and Futures Commission, Hong Kong
Company: CMS AG, Marshall Islands, Zweigniederlassung Riedmatt
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=369
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Kremer Moyse AG
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Kremer_Moyse_AG_140613_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Phoenix Private Equity LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/phoenix-private-equity-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: Madison Private Equity LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/m/madison-private-equity-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: iOption Group Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/ioption-group-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Drobium Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/d/drobium-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: VC Management China Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/v/vc-management-china-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Sol Transfer Agents LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Palmer Corporate Solutions, LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Stalmann Clark
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: AMG Finanz LTD
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/amg-finanz-ltd.html
Posted by: Financial Market Authority, Austria
Company: MKP Capital Europe / MKP Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: Ausante LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/a/ausante-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: Peterson Capital Partners Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Weinberg Equity Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Warren Fisher and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Waight & Caffie Company Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Upper East Side Trust Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Trias Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tribune Assets Management Litmited (sic)
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Texas Stock and Bond
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tate and Carver Consultancy Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Smith and Olsson
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Silver Spring Capital Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Rothridge Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Rosenthal & Goldberg Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Riley Securities and Trading Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Richmond Grant Security & Transfer Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regal Registrars
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Comments: This entity has the same IP address as Pacific Alliance Mergers & Acquisitions.
Company: Private Trading Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: One Global Venture Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Park Avenue Mergers and Acquisitions LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Offshore Taxation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Morgan Premier Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: MKL Business Services, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Miller Winston
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Miller Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: McPherson Gordon Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Massaki, Lane and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Marsh & Reede Capital
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mandolin Resources
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Lincoln Equity Partners
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Kirkland Mergers & Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Keep Clearing Corporation LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Karum Group LLC Law Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Isaac Paige Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: IBG and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hillton Stock Investment Limited, a.k.a. Hillton Stocks Investments
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Heckart Associates, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hamilton and Pricehouse Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Grenfell and Blackrock Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenway Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Green Bay Ventures LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Goldman Phillips
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Global Direct Asset Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: GFC Worldwide, a.k.a. Global Financial Corp.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Fundamental Trading Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: First Axis Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: East Financial Group Incorporated
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: DurdanHeyer Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: DreyfusMeyer & Co., Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Crossley Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: CPI International
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Crest Trust Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Cooper Company Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Centaur Global Advisors
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Capgemini Law Mergers & Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Boston Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Bloomfield Trust Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Blake Morgan Financials
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: BL Trading Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Blackstone Royalty Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Betterlife Investment Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Comments: This entity also provided three additional purported U.S. addresses as well as addresses in the United Kingdom and Canada on its website, which is no longer accessible.
Company: Arcadia Trading Group, Ltd. Arcadia Oil & Gas, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: AMK Trust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Alta Paramount Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mergers and Acquisitions Financial Administration
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Vilaron compagnie inc.
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_cautions-vilaron-simonvodovos.html
Posted by: Autorité des marchés financiers, Quebec
Company: Allianz Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA Authorised firm.
Company: Balfour Beatty
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a UK incorporated company.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 June 2013

Added (14)

Company: Priory Investments Services Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1359/language/en-US/PRIORY-INVESTMENTS-SERVICES-LTD--Advisory-Warning-No-17-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: The Asia Gold Mining Asset Corporation
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1358/language/en-US/THE-ASIA-GOLD-MINING-ASSET-CORPORATION--Advisory-Warning-No-16-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Axis Trading Group Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1357/language/en-US/AXIS-TRADING-GROUP-INC--Advisory-Warning-No-15-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorized investment business
Company: Unterstützungskasse für Arbeitnehmerschutz und Vorsorge
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/unterstuetzungskasse-fuer-arbeitnehmerschutz-und-vorsorge.html
Posted by: Financial Market Authority, Austria
Company: Ardea Capital LP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Reynolds Consultancy Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: GLOBALFX MANAGEMENT TRADING LIMITED, Road Town (Tortola, British Virgin Islands), Zweigniederlassung Zürich
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=368
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Lawrence James & Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Exelyum Ltd
Link: http://www.amf-france.org/affiche_plan.asp?IdSec=19&IdRub=192&IdPlan=214
Posted by: Autorité des marchés financiers, France
Comments: Warning dated 28 May 2013
Company: www.vivodelabolsa.com
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=www.vivodelabolsa.com
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Consulto Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Companies Investment Holdings Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Platinum Capital Management Limited
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Whitmore Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 June 2013

Added (16)

Company: Montgomery Capital Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Eldridge Financial  
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company:  EUREX CAPITAL CORP.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4800-warning--non-authorized-entity--eurex-capital-corp-.html 
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered.
Company: Clarity Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of FCA Authorised firm.  
Company: Aldermore International
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
May also use the name AI International.
Company: Aldermore Investments
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA Authorised firm.
Company: Casper Holdings Co Ltd
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1088
Posted by: Securities and Futures Commission, Hong Kong  
Company: Shintomi Trading  
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1087
Posted by:  Securities and Futures Commission, Hong Kong  
Company: Denison Newbrook Reid
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1086
Posted by: Securities and Futures Commission, Hong Kong
Company: Aston Hu & Associates
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1085
Posted by:  Securities and Futures Commission, Hong Kong
Company: Casa de Valores, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4823-warning--non-authorized-entity-casa-de-valores-sa.html
Posted by:  Superintendencia del Mercado de Valores, Panama,
Republic of
Comments:  Company not registered
Company: Felmina Alliance Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4825-warning--non-authorized-entity-felmina-alliance-inc.html
Posted by:  Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Capita Registrars
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of FCA authorised firm
Company: Platinum Trading Partners GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=367
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: The Celtic Group LLC (also known as Celtic Finance
Group/Celtic Finance Brokers/Cead Mile Failte Finance Services)
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: The Celtic Group LLC is not authorised as an
investment firm by the Central Bank of Ireland and is claiming or holding
itself out as an investment firm in the State.
Company: Auron Group Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

25 May 2013

Added (11)

Company: Nelson Capital Advisors
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Nelson Capital Advisors is not authorised to provide
investment services in Ireland. The firm purports to be based in the USA.
Company:

The Masons Corporation

Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Kuangshi Futures
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1084
Posted by: Securities and Futures Commission, Hong Kong  
Company:  Cyber Trust Fund Corp
Link:  https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=366 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
 
Company:  Department of Foreign Investment Control
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by:  Financial Conduct Authority, United Kingdom  
Comments:  Firm is purporting to be an US regulator.
Company:  Bergmannwhite Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/bergmannwhite-associates.html 
Posted by: Financial Market Authority, Austria
Company: Stockbridge Partners
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/stockbridge-partners.html
Posted by:  Financial Market Authority, Austria  
Company: Alliance Direct Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Taiwan Options and Futures Exchange  
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1082 
Posted by:  Securities and Futures Commission, Hong Kong
Company: Idelson Group  
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1083 
Posted by: Securities and Futures Commission, Hong Kong  
Company: www.yhjrtz.cc
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1081 
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information  

21 May 2013

Added (13)

Company: Hermann Brothers Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hallmark Financial Solutions / Hallmark Finance
Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom  
Comments: Clone of FCA registered firm.  
Company: Edgewood Equities Capital Investment LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised (Shedule 5)
firm.
Company:  Rainmaker Marketing LLC
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_caution-rainmaker_2013-03-28.html 
Posted by: Autorité des marchés financiers, Quebec  
Company: Altimeter Worldwide Services JLT  
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=365 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland

Company:

Ostermann Finanz Ltd
Link: http://www.fscmauritius.org/media/90556/noticeofsuspension-ostermannfinanz_ltd.pdf 
Posted by: Financial Services Commission, Mauritius, Republic of  
Company: Claridon Asset Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Claridon Asset Management is not authorised to provide
investment services in Ireland. The firm purports to be based in the United
Kingdom.
 
Company: Doncaster Wealth Management  

Link:

http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom
Company: Milton Keynes Capital Partners LLP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom  
Company: www.anyoption.com 
Link:  http://www.lautorite.qc.ca/en/press-releases-2013-corpo.html_2013_warning-anyoption_2013-05-14.html 
Posted by:  Autorité des marchés financiers, Quebec  
Company:  I-RISK BVBA
Posted by:  Financial Services and Markets Authority, Belgium  
Comments:  warning 
Company: Midia Group
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=364 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
 
Comments: -- 
Company: Geneve Invest Ireland  
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland  
Comments:  Geneve Invest Ireland is not authorised to provide
investment services in Ireland.

Deleted (1)

Company: Hallmark Finance Solutions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Conduct Authority, United Kingdom  
Comments: Clone of FSA registered firm.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

11 May 2013

Added (12)

Company: Russell Acquisition Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Megakupon S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Pacific Ventures Consultancy
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Astorg Partners
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: Delacour Investments / Delacour Group Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: