Aggregated News From Investment Management Regulators

Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities

Washington, D.C., Dec. 3, 2021 — The Securities and Exchange Commission today announced that Ernesto A. Lanza will serve as Acting Director of the Office of Municipal Securities (OMS). Mr.

Tender regarding the ‘Provision of services of two Office Admins/Telephone Operators

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

Nexus IFA (Clone of FCA Authorised Firm)

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

Blanket Order 52-503 – Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure

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

Deutsche Wallet (Clone of FCA Authorised Firm)

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

Warning regarding the activities of an entity named Forbschain

The Commission de Surveillance du Secteur Financier (CSSF) warns...

Pre-approval of Associate Portfolio Managers’ advice guidance

IIROC is publishing guidance on the pre-approval of Associate...

Volume 44, Issue 48

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

Suspension of the offer of RIO BRAVO ESG Investment Fund reversed

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

Suspension of the offer of SPE STX 32 Desenvolvimento Imobiliário SA reversed

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

Earlypay announces change to classification of debt

ASIC notes the announcement to the ASX by Earlypay...

FCA proposes stronger requirements on oversight of appointed representatives

The FCA has today launched a consultation on improving...

U.S. Treasury Supports National Action Plan to Combat Human Trafficking

As a part of the Biden Administration’s commitment to...

Overview of major banks’ financial results as of September 30, 2021

Japanese December 3, 2021Financial Services Agency Following the announcements by major banks, etc.

EIOPA analyses trends in cross-border IORPs

The European Insurance and Occupational Pensions Authority (EIOPA) published today a report on developments in cross-border arrangements of Institutions for Occupational Retirement Provision (IORPs).

Pavilion Global Markets Ltd.

Investment Industry Regulatory Organization of Canada has been informed...

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Final Order in the matter of ARSS Infrastructure Projects Limited

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

Surrender of Licence by Amagis Capital Services Ltd

This notice is to make the general public aware that A

Warning regarding unregulated entities

See a PDF of the news item published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

RACHFORD SECURITIES 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...

T&H Consulting

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

Information regarding the company IRB-BRASIL RESSEGUROS SA

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...

CryptoBinanceFx

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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Latest U.S. News

Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities

Washington, D.C., Dec. 3, 2021 — The Securities and Exchange Commission today announced that Ernesto A. Lanza will serve as Acting Director of the Office of Municipal Securities (OMS). Mr.

U.S. Treasury Supports National Action Plan to Combat Human Trafficking

As a part of the Biden Administration’s commitment to fight against human trafficking, the U.S. Department of the Treasury announced measures to contribute to...

Latest U.K. News

Nexus IFA (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...

Deutsche Wallet (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 proposes stronger requirements on oversight of appointed representatives

The FCA has today launched a consultation on improving the appointed representatives regime and tackling harm from this model. An appointed representative (AR) is a...
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