Aggregated News From Investment Management Regulators

SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme

Washington D.C., Sept. 17, 2021 — The Securities and Exchange Commission today announced insider trading charges against Dayakar R.

SEC Awards $11.5 Million to Two Whistleblowers

Washington D.C., Sept. 17, 2021 — The Securities and Exchange Commission today announced awards of approximately $11.

CVM suspends registration of 3 subsidized companies

This post was translated by Regulatory.News for informational purposes...

CFPB Report: Renters at Risk as COVID-19 Safety Net Ends

Stimulus Checks and Other Payment Relief Linked to Renters’...

Adderley Asset Management

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

CSA Notice and Request for Comment – Proposed Amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

Regulated Industries FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-oper

Barrow & District Credit Union enters administration

Barrow & District Credit Union Limited was placed into...

Non-profit organisations assessed for terrorist financing risk

As part of the Island’s fight against financial crime, we are working with the Government of Jersey to build a better understanding of local non-profit organisations and the potential risk of them be

Volume 44, Issue 37

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The Financial Education Plan is renewing its finanzasparatodos.es website

See the PDF published by the Comisión Nacional del...

FCA’s proposals for a new listing regime

Speech by Clare Cole, Director of Market Oversight, FCA...

FCA bans Jon Frensham from working in financial services

The FCA has banned director Jon Frensham (formerly known...

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166 posts from 40 regulators published in the last week

HyperFund

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

Notice of Adjournment: JACK HIEBERT NEUFELD, GEOFFREY SCOTT EDGELOW AND THE JACK NEUFELD FAMILY CHARITABLE FOUNDATION

 IN THE MATTER OF:       THE SECURITIES ACT -and- IN THE MATTER OF: JACK HIEBERT NEUFELD, GEOFFREY SCOTT EDGELOW AND THE JACK NEUFELD FAMILY CHARITABLE FOUNDATION Winnipeg...

Clear Save / Clearsave / Clearsave.io

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

SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches

The Securities and Futures Commission (SFC) has reprimanded The Bank of East Asia, Limited (BEA) and fined it $4.2 million for regulatory breaches related...

gs4trade.com

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.

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SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme

Washington D.C., Sept. 17, 2021 — The Securities and Exchange Commission today announced insider trading charges against Dayakar R.

SEC Awards $11.5 Million to Two Whistleblowers

Washington D.C., Sept. 17, 2021 — The Securities and Exchange Commission today announced awards of approximately $11.

Issuance of Executive Order Imposing Sanctions on Certain Persons with Respect to the Humanitarian and Human Rights Crisis in Ethiopia; Ethiopia General Licenses and...

The President has signed a new Executive Order Imposing Sanctions on Certain Persons with Respect to the Humanitarian and Human Rights Crisis in Ethiopia.  OFAC has...

Latest U.K. News

Adderley Asset Management

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

Barrow & District Credit Union enters administration

Barrow & District Credit Union Limited was placed into administration on 16 September 2021 and has now stopped trading. James Sleight and Peter Hart of...

FCA’s proposals for a new listing regime

Speech by Clare Cole, Director of Market Oversight, FCA to City & Financial's 'The Modernisation of the Listing Regime' event. Speaker: Clare Cole, Director of...
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