Regulator news for traders
Warnings about unlicensed and clone firms, enforcement actions and fines, and rule changes — collected from the official websites of UAE and major global regulators. Each item links to the regulator’s original notice.
449 notices · Latest notice: 6 Nov 2026
- Global Pip Markets
- CMLC Ltd
- SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief…
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- shardcreditpartners.uk (Clone of FCA firms)
- ASIC consults on financial resources requirements for market operators
ASIC is consulting on proposals for clearer guidance on financial resources requirements for licensed market operators in Australia.
- ASIC sues Falcon Capital directors David Anderson and Simon Selimaj alleging First Guardian failures
Hundreds of millions of dollars of Australians' superannuation invested in the First Guardian Master Fund (First Guardian) were exposed to high-risk, undocumented, and conflicted investments, ASIC alleges in new…
- Client.octopus-firm.com (clone of FCA authorised firm)
- Northern Index (Clone of FCA authorised fund)
- TioMarkets CY Ltd — Withdrawal of CIF licence
The Investment Services and Activities and Regulated Markets Law
- Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings…
- www.hedgemarksecuritiesllc.com
- LW Management (Clone of FCA registered firm)
- FCA stops HTX's crypto promotions
The FCA has secured High Court undertakings to ensure that HTX (formerly Huobi), a global crypto exchange, will not knowingly promote cryptoasset services unlawfully to UK consumers. The FCA took legal action against…
- ESMA proposes simpler EU Taxonomy reporting
ESMA proposes simpler EU Taxonomy reporting 29 October 2026 Issuer disclosure Sustainable finance The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has…
- Apex Asset Growth
- Assets Explore
- Mobile Savings Plan
- TRADE FLOW
- HOXTON FX LTD · website (https://hoxtonfx.com/)
Address: Dubai (Representative Office). The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services.
- The DFSA fines Moody’s Investors Service Middle East Limited USD 585,825 for data confidentiality breaches
- Palmer Leisure Coolum Pty Ltd convicted and fined $10,000 for breaching takeover law
Palmer Leisure Coolum Pty Ltd (PLC) has been sentenced for breaching takeover law arising from a proposed takeover of The President’s Club Ltd (TPC).
- pinnaclesweb.com (clone of FCA Registered firm)
- STAR TRADE FINANCE
- CFTC Sues to Block State Enforcement in Utah Amid Ongoing Efforts to Preserve Jurisdiction
- PCPHero / motorrefunds.co.uk (clone of FCA authorised firm)
- DriveWithMettle / CoveredByWise / SpareSafety / WeAreMotorguard
- Bondsterling Savings Ltd (clone of FCA Authorised firm) (updated)
- ASIC halts offers in mortgage scheme managed by Murdoch Clarke Mortgage Management Ltd
ASIC has made an interim stop order on the product disclosure statement (PDS) issued by Murdoch Clarke Mortgage Management Ltd (Murdoch Clarke) offering interests in its registered managed investment scheme.
- BITRUMARKET
- ASIC seeks leave to appeal NSW Supreme Court decision against former Rex non-executive directors
ASIC is seeking leave to appeal the decision of the Supreme Court of NSW that former Regional Express Holdings Limited (Rex) non-executive directors The Hon John Sharp AM, Siddharth Khotkar and Lincoln Pan did not…
- Financial Services and Credit Panel cancels registration of NSW financial adviser Evan Byrnes for two and a half years
The Financial Services and Credit Panel (FSCP) has cancelled financial adviser Evan James Byrnes’ registration and prohibited him from being registered as a relevant provider for two and a half years.
- Bit Trade Master / bittrademaster.com
- tradeassetlimited.com
- maxluxurymarketing.com / Maxluxury Marketing
- ASIC accepts cancellation of company auditor Benjamin Peters’ registration after audit surveillance
ASIC has accepted Benjamin Alfred Peters’ application for the cancellation of his registration as a company auditor after raising concerns about his role as lead auditor and engagement partner in the audit of a large…
- Important Warning - Fake website impersonating CySEC detected
- ESMA streamlines several Q&As as part of simplification efforts
ESMA streamlines several Q&As as part of simplification efforts 22 October 2026 Market Abuse MiFID - Secondary Markets Short Selling Simplification and Burden Reduction The European Securities and Markets Authority…
- Faraz Financial Services PTY- Limited · PAY2ASSIST DYNAMICS CONSULTANCY - FZCO · Website (https://www.market10.net/en)
The CMA advises investors against dealing with the listed entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services. Investors are strongly urged to verify…
- ASIC cancels Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Receivers and Managers Appointed)
ASIC has cancelled the Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Walker Stores) following two payments of compensation by the Compensation Scheme of Last Resort (CSLR).
- CFTC Secures Court Order Directing Louisiana Man and His Companies to Pay Over $9 Million in Forex Fraud
- Former chief executive banned after misconduct led to £4m losses in high-risk investments
The FCA has banned Jeffrey Dawkins, the former chief executive of Vector Wealth Ltd, after he dishonestly acted as a front for a disqualified director using the company to sell high-risk bonds. Mr Dawkins has also…
- Visy and Pratt companies pay over $4.1 million in infringement notices for failing to lodge financial reports on time
Infringement notices totalling $4.158 million have been paid by 21 companies within the Visy/Pratt group for allegedly failing to lodge their financial reports for the year ended 30 June 2025 on time.
- ASIC cancels AFS licence of Kyle Clifford Frost
ASIC has cancelled the Australian financial services (AFS) licence of NSW financial adviser Kyle Clifford Frost (AFS licence number 543780). The licence cancellation took effect on 15 October 2026.
- ESMA specifies requirements to facilitate safe use of post-trade risk reduction services
ESMA specifies requirements to facilitate safe use of post-trade risk reduction services 20 October 2026 Guidelines and Technical standards Post Trading The European Securities and Markets Authority (ESMA), the EU’s…
- Former Rex director Lim Kim Hai disqualified for 4 years and ordered to pay $800,000 penalty for directors’ duties and continuous disclosure contraventions
The NSW Supreme Court has disqualified former Rex chief executive officer and executive chair Lim Kim Hai from managing corporations for four years and ordered him to pay a pecuniary penalty of $800,000.
- Panacea Capital director Brian Creigh charged with criminal offences
Brian Jacques Creigh, of Morton Bay, Queensland, has been charged with carrying on a financial services business without an Australian Financial Services (AFS) licence and dealing with proceeds of crime.
- DFSA Impersonated in Cryptocurrency recovery scam
- False Claims by Adaa Financial Services that it is Regulated by the DFSA
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions