Aggregated News From Investment Management Regulators

SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts

The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc.

Richard R. Best Named Director of Division of Examinations

The Securities and Exchange Commission today announced the appointment of Richard R. Best as Director of the Division of Examinations, effective immediately.

Pension Drawdown Advisory Centre

We believe this firm may be providing financial services...

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on SLEEPZ AG

On 29 March 2022, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on SLEEPZ AG.

24*7 Cash Line Finance / 247 Cashline Finance / 247 Cashline Loan (Clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise...

MFSA CEO Joseph Gavin Talks About the Future of Financial Services in ‘Ganado Meets Finance’ Podcast

MFSA’s Chief Executive Officer Joseph Gavin talks abou

Circular on Development of Passive Funds

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

Queensland director disqualified from managing corporations for three years and six months

ASIC has disqualified Benjamin David Coventry Brown of Brisbane,...

Important Technical Notice for Users of the OFAC website on SSL Certificates

The Office of Foreign Assets Control has published this...

Jerome H. Powell sworn in for second term as Chair of the Board of Governors of the Federal Reserve System

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below. May 23, 2022 Jerome H.

Lael Brainard sworn in as Vice Chair of the Board of Governors of the Federal Reserve System

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Lisa D. Cook sworn in as a member of the Board of Governors of the Federal Reserve System

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below. May 23, 2022 Lisa D.

Philip N. Jefferson sworn in as a member of the Board of Governors of the Federal Reserve System

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below. May 23, 2022 Philip N.

Federal Reserve Board announces approval of application by MidWestOne Financial Group, Inc.

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ASIC disqualifies former Victorian director for breaching directors’ duties

ASIC has disqualified James Sackl, of Southbank, Victoria, from...

Warning regarding unregulated entities

The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to...

Adjudication order in respect of Mr Bhanuprasad Dipak Kumar Trivedi in the matter of IPO Investigations

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

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CSA and CCIR Joint Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and...

This news item was originally published by the Ontario Securities Commission (OSC CA). For more information, see the Read more

Riverdale LLC

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

MarginElite / Margin Elite

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary...

Multi Global Minersfx

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

Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements

  • Events
  • +2Proposed Laws/Rules/Regulations/Guidelines/Orders/Technical Standards, Public Consultations
View the PDF from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Court orders Pyramid and Ponzi scheme fraudsters to compensate investors

The Court of First Instance has granted orders sought by the Securities and Futures Commission (SFC) against fraudsters of a global Pyramid and Ponzi scheme to compensate victims following legal proceedings under section 213 of the Securities and Futures Ordinance (SFO) (Notes 1 & 2).

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Latest U.S. News

SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts

The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc.

Richard R. Best Named Director of Division of Examinations

The Securities and Exchange Commission today announced the appointment of Richard R. Best as Director of the Division of Examinations, effective immediately.

Important Technical Notice for Users of the OFAC website on SSL Certificates

The Office of Foreign Assets Control has published this technical notice​ ​for users of its website and sanctions list data files. This news item was...

Latest U.K. News

Pension Drawdown Advisory Centre

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

24*7 Cash Line Finance / 247 Cashline Finance / 247 Cashline Loan (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...

FCA response to Amigo’s scheme being approved by the High Court

The High Court today approved Amigo Loans Limited scheme of arrangement (the scheme) to provide redress to customers who are due it for being...
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