SEC News

SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings

Washington D.C., Sept. 24, 2021 — The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound Resources LLC, with making material misrepresentations and omissions in connection with more than a dozen unregistered oil and gas securities offerings. Powell and Toth were also charged […]

SEC News

SEC Awards Approximately $36 Million to Whistleblower

Washington D.C., Sept. 24, 2021 — The Securities and Exchange Commission today announced an award of approximately $36 million to a whistleblower whose information and assistance significantly contributed to the success of an SEC enforcement action as well as actions by another federal agency. The whistleblower provided crucial information on an illegal scheme to the […]

FCA News

A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I

Speaker: Sheldon Mills, Executive Director, Consumers and CompetitionEvent: The IA Culture in Investment Management ForumDelivered: 22 September 2021Note: this is the speech as drafted and may differ from the delivered version Highlights Culture remains central to how we supervise the firms we regulate. The importance of an authentic, embedded purpose, visible leadership and an inclusive environment where staff feel […]

FCA News

Sentor Solutions Commercial Ltd consumer warning

Sentor Solutions’ involvement with Texmoore and Fabcourt We understand that Sentor Solutions Commercial Ltd and/or a related firm owned by its director called Sentor Solutions Advisory Limited acted as security trustees and undertook other business for Texmoore and Fabcourt. While Sentor Solutions Commercial is an authorised firm with credit broking permissions and Sentor Solutions advisory […]