Washington D.C., Dec. 6, 2019 — The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery scheme involving the use of sham consultants to secretly funnel money to government officials in multiple countries. The bribes netted Ericsson hundreds of millions in profits. To resolve these alleged […]
MSIM Fund Management (clone of FCA authorised firm)
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]
Clarmond-WL (Clone of FCA authorised firm)
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]
Paragon Bank (Clone of FCA authorised firm)
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]
Dépôt des prospectus et des documents d’enregistrement universels : l’AMF met son instruction en conformité avec le règlement Prospectus
Dossiers thématiques Sociétés cotées & opérations financières: Information & opérations financières Dépôt des prospectus et des documents d’enregistrement universels : l’AMF met son instruction en conformité avec le règlement Prospectus Publié le 6 décembre 2019 L’instruction de l’AMF qui précisait les modalités de dépôt des prospectus auprès de l’AMF DOC 2016-04 a été revue […]
Modalités de dépôt et de publication des prospectus
Résumé Cette instruction : • clarifie les modalités de dépôt des différents documents tels que le prospectus, le document d’enregistrement universel, les suppléments et la documentation promotionnelle ; • précise les pièces à fournir à l’occasion du dépôt auprès du régulateur ; • fournit les modèles d’encarts à faire figurer sur la couverture de […]
Affinity Group Investing (a trading style of MSgroup Limited)
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]
CFreserve (a trading style of Imperial App Limited)
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]
SEC Charges Trucking Executives With Accounting Fraud
Washington D.C., Dec. 5, 2019 — The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an accounting fraud that inflated the company’s income and earnings per share. Celadon previously agreed to settle accounting fraud charges brought by the SEC in April. The SEC’s complaint against […]
SEC Releases Report on 38th Annual Small Business Forum
Washington D.C., Dec. 5, 2019 — The Securities and Exchange Commission today released a report on the 38th Annual Government-Business Forum on Small Business Capital Formation. The Forum is a unique event attended by SEC Commissioners and staff in which members of the public and private sectors gather to craft suggestions for securities policy impacting […]