Dinosaur Merchant Bank Limited
Final Notice refers to breaches of the Market Abuse Regulation, lack of systems and controls to prevent and detect market abuse in the trading sector.
Financial Conduct Authority (FCA)
£338,000
Seth Law
Fined for operating mortgage mis-selling claims with “no experience or expertise” and made multiple errors as a result.
Solicitors Regulation Authority (SRA)
£7,000
Active Wealth (UK) Limited
Firm advised more than 670 customers, including 150 British Steel Pension Scheme (BSPS) members to put their money into investments that he knew were not suitable for them.
Financial Conduct Authority (FCA)
£2,212,316
Infinox Capital Limited
Failed to submit any transaction reports to the
FCA by close of the following working day, or at all, in relation to transactions connected to its single-stock CFD desk
Financial Conduct Authority (FCA)
£141,800
Dinosaur Merchant Bank Limited
Final Notice refers to breaches of the Market Abuse Regulation, lack of systems and controls to prevent and detect market abuse in the trading sector.
Financial Conduct Authority (FCA)
£338,000
Seth Law
Fined for operating mortgage mis-selling claims with “no experience or expertise” and made multiple errors as a result.
£7,000
Active Wealth (UK) Limited
Firm advised more than 670 customers, including 150 British Steel Pension Scheme (BSPS) members to put their money into investments that he knew were not suitable for them.
Financial Conduct Authority (FCA)
£2,212,316
Infinox Capital Limited
Failed to submit any transaction reports to the
FCA by close of the following working day, or at all, in relation to transactions connected to its single-stock CFD desk
Financial Conduct Authority (FCA)
£141,800
Registered in England and Wales under company number 17206649.
Registered office: Crown House, 27 Old Gloucester Street, London, WC1N 3AX.
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