Aggregated News From Investment Management Regulators

CVM warns of irregular performance by KOI Global LLC, Ventura Group and Orotrader as securities brokers

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Willers Consulting Group

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

Stanley Associates LLC

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

Adjudication order in respect of GKS Reality Private Limited in the matter of Illiquid Stock Options at BSE

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

Adjudication Order in respect of Nikhil Jalan and Sons HUF in the matter of Illiquid Stock Options at BSE

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

F.C. TRADING (U.K.) LIMITED

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

Adjudication Order in respect of Begum Gulerana in the matter of Illiquid Stock Options at BSE

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

Adjudication order in respect of Sanwaria Consumer Ltd. in the matter of Sanwariya Consumer Ltd.

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

Adjudication Order in the matter of Parinee Realty Private Limited

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

Adjudication Order in respect of Anbazhagan in the matter of Titan Company Ltd

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

Adjudication Order in respect of Dharam Bir HUF in the matter of dealing in Illiquid options on the BSE

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

UNION FX TRADING

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

Settlement Order in respect of Mrs. Amrita Prabhakar Deodhar in the matter of APLAB Limited

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

RC.No.4314 -Notices of Attachment dated 25.01.2022- Recovery proceedings under RC.No.4314 against Shree Shagun Financial Services (PAN ABTFS0352F) in the matter of Polytex India Limited

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

Notice of Demand dated January 25, 2022 issued to Vijay Kapoor [Defaulter] in the matter of Richa Industries Limited

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

Notice of Demand dated January 25, 2022 issued to Ajit Singh Dua [Defaulter] in the matter of Richa Industries Limited

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

Notice of Demand dated January 25, 2022 issued to Arnav Gupta [Defaulter] in the matter of Dealing in Illiquid Stock Options...

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

Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers

See a PDF of the proposed rule from the Securities and Exchange Commission (SEC US) here: Read more

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267 posts from 44 regulators published in the last week

Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties) Rules, 1995 [Last amended on December 31, 2021]

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

Settlement Order in respect of Ajit Khandelwal in the matter of BNK Capital Markets Limited

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

Adjudication Proceeding in the matter of dealings in Illiquid Stock Options against Karni Dan Bansali

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

Have you received an attractive credit proposal? Watch out for scams

The Financial Services and Markets Authority (FSMA) warns the public against the activities of unauthorized lenders who offer false credit to consumers. In recent months,...

Mystocks24

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

Wealth Crypto Ltd

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

CMF presents an in-depth look at the indebtedness of individuals in Chile

CMF Chairman Joaquín Cortez and Nancy Silva, Director of Studies, Statistics & Data, presented the 8th version of this Report, which revealed that the...

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Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers

See a PDF of the proposed rule from the Securities and Exchange Commission (SEC US) here: Read more

SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS

Proposal Would Enhance Investor Protections and Cybersecurity for Alternative Trading Systems That Trade Treasuries and Other Government Securities Washington D.C., Jan.

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Willers Consulting Group

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

Stanley Associates 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...

F.C. TRADING (U.K.) LIMITED

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