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Showing 71 to 80 of 676 search results for BROKER%20XM.COM.

  1. Appropriate Examinations: Broker Fund Adviser [pdf]

    Documents Published: 19/01/2009 Last modified: 03/08/2016
    Standards for Appropriate Examinations for those acting as a Broker Fund Adviser

  2. Depositaries

    Focus areas Published: 08/06/2016 Last modified: 01/02/2023
    How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

  3. Excel Brokers Ltd (clone of FCA authorised firm)

    Warnings Published: 21/08/2012 Last modified: 04/11/2013
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

  4. Final notice 2016: Dual Mortgage Brokers [pdf]

    Final notices Published: 29/06/2016 Last modified: 29/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  5. Final Notice 2017: Best Broker Limited [pdf]

    Final notices Published: 20/11/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  6. CheapCarInsurance Brokers (clone of FCA authorised firm)

    Warnings Published: 21/08/2012 Last modified: 21/06/2021
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

  7. A G BROKER / AG Broker (Clone of an EEA Authorised firm)

    Warnings Published: 13/05/2020 Last modified: 13/05/2020
    A G BROKER / AG Broker (Clone of an EEA Authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm

  8. Direct Brokers Invest / DB Invest (clone of FCA authorised firm)

    Warnings Published: 27/04/2012 Last modified: 03/06/2015
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

  9. European United Brokers (clone of FCA authorised firm)

    Warnings Published: 16/03/2012 Last modified: 05/06/2015
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

  10. Final Notice 2021: Sunrise Brokers LLP [pdf]

    Final notices Published: 12/11/2021
    This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty