Hong Kong regulator bans relationship manager for life
Over a year after he was convicted of fraud
Ban
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Ex-Guardian Wealth Qatar CEO hit with fine and ban
But financial hardship and coronavirus see the penalty commuted
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Temporary mini-bond marketing ban to be made permanent
FCA demanded firms stop advertising to retail clients following growing concerns and failures
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South Africa regulator bans investment firm directors
After the watchdog withdrew the company’s licence over breach of suitability requirements
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Credit card fraudster financial adviser banned
He is currently serving a three-and-a-half-year jail term
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Dubai watchdog fines two firms and three directors
But they will contest the prohibition orders and penalties at a tribunal
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Singapore adviser duo sent to prison
They teamed up with a local chiropractor to cheat their firm
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Guernsey regulator fines wealth company directors £60,000
Company was promoting and advising clients on structured notes which was outside its licence
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Director duo banned for 29 years
After conning investors out of £9.5m
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Adviser banned after clients lose £7m from their pensions
He invested £8.3m in an unregulated overseas company without telling them
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Singapore regulator bans six advisers
For between six and 12 years after they cheated clients out of their money
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Investment firm director banned for 11 years after £4m gift
Business received at least £3.3m worth of loans and funds from retail investors