Aggregated News From Investment Management Regulators

NFA permanently bars Hong Kong commodity pool operator Bainbridge Asia Limited and its principal Wai Man Yip from membership

Report/Flag

Please complete the required fields.




June 01, 2020

For more information contact:
Kristen Scaletta, 312-781-7860, [email protected]
Karen Wuertz, 312-781-1335, [email protected]

NFA permanently bars Hong Kong commodity pool operator Bainbridge Asia Limited and its principal Wai Man Yip from membership

June 1, Chicago—NFA has permanently barred Bainbridge Asia Limited (Bainbridge), an NFA Member commodity pool operator located in Hong Kong, and its sole principal and associated person Wai Man Yip from membership and from acting as a principal of an NFA Member.

The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on a Complaint issued by the BCC. The BCC found that Bainbridge and Yip failed to cooperate with NFA in the course of an examination.

For more information, read the Complaint and Decision.







Source link

Regulator Information

Abbreviation: NFA
Jurisdiction: United States

Recent Articles

McCarter Capital Partners

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

TorexFX/42 Marketing Limited (clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Federal Reserve Board issues enforcement action with Texico Bancshares Corporation and Texico State Bank

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

eagle advisory services

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

BAM Bundesweites Anlagenmanagement UG (haftungsbeschränkt), Hamburg/Berlin: information from BaFin with regard to the winding up of unauthorised deposit business

After reviewing the situation, BaFin has made the following arrangements to ensure that the purported “blocked accounts” (Sperrkonten) are wound up in an orderly manner. I.

Get the latest from Regulatory.News in your inbox!

×