The Hellenic Capital Market Commission (HCMC) has warned that Oversea Capital Markets Limited Single-Member Private Company (IKE) and the website overseatrades.com are not authorized to provide investment services or hold client funds. Compliance teams should treat both as unlicensed and high-risk, and update screening and monitoring controls accordingly.
The Norway Financial Supervisory Authority has listed a warning, originally issued by Luxembourg's CSSF, about fraudulent actors impersonating Eurizon Capital SGR S.p.A., Luxembourg Branch. Compliance teams should treat the name as a known impersonation vector and strengthen onboarding, payment, and client-communication controls accordingly.
The Norway Financial Supervisory Authority (Finanstilsynet) published a warning on Blueberry Capital on September 2, 2026. The warning relays an alert originally issued by Spain's securities regulator, the CNMV. Compliance teams should treat the entity as a potentially unauthorized or high-risk counterparty and screen for any exposure.
The Norwegian Financial Supervisory Authority (Finanstilsynet) has published a warning about Indylux Capital S.à r.l, a Luxembourg-based entity, and references a related Luxembourg CSSF warning about the website www.tresorwacht.com. Compliance teams should treat the entity and associated website as potential unauthorized or fraudulent activity and update screening and client-protection controls accordingly.
Finanstilsynet (Norway FSA) has republished a warning about "Capitalrisefinancelimited," a clone of an FCA-authorized firm, originally issued by the UK Financial Conduct Authority. Clone firms use the identity of legitimate authorized entities to defraud consumers, so compliance teams should update screening controls and customer-protection messaging.
Norway's Financial Supervisory Authority has issued a warning against olympus-capitallimited.com, identified as a "clone firm" fraudulently using the identity of a legitimately licensed entity to deceive investors. This follows an original alert from Spain's CNMV, highlighting cross-border coordination among regulators to combat unauthorized financial services providers. Compliance teams should treat this as a high-priority alert for customer protection and fraud prevention screening.
FINRA's September newsletter bundles several action items for compliance teams, including a job analysis survey to reshape the Series 7 exam, TRACE rule amendments improving trade reporting transparency, and three open comment periods on arbitrator rules, communications rules, and best execution guidance. Firms should track multiple mid-to-late September deadlines and prepare for TRF operating hour extensions and the 2027 renewal cycle.
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