Aggregated News From Investment Management Regulators

The SEC Levels Up: Statement on In re Activision Blizzard

Feb. 3, 2023 Today, the Commission announced a $35 million settlement with Activision Blizzard Inc. (“Activision Blizzard”).

Mr William Stephen Cairns (date of Birth 15 January 1949) of Key West, Doyle Road, St Peter Port Guernsey GY1 1RG — GFSC

Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions: From 2 February 2023 until 2 July

Mr Du Preez Gert Vermeulen (Date of Birth 5 August 1987) of Doyle Court, Doyle Road, St Peter Port Guernsey GY1 1RD

Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions: From 2 February 2023 until 2 Mar

Publication of a Notice of the fact of a Prohibition Order and a Discretionary Financial Penalty — GFSC

On 2 February 2023, the Commission imposed discretionary financial penalties as follows:  Mr William Stephen Cairns (“Mr Cairns”) a financial penalty of £133,000; and  Mr Du Preez Gert Vermeulen (“M

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

Washington D.C., Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc.

Federal Reserve Board announces appointment of Joshua Gallin as secretary of the Federal Open Market Committee

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Working group on euro risk-free rates

See the content published by the European Securities and Markets Authority (ESMA) here: Read more

Lendr PCC Limited

Published on: 03 February 2023 Notice is hereby given that Lendr PCC Limited, which was registered under the Designated Businesses (Registration & Oversight) Act 2015, has been de-registered in accor

BLINARUX.COM

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

Financial watchdog proposes to ban debt packager referral fees to protect consumers

The Financial Conduct Authority (FCA) is to push ahead...

Appeal No 5558, 5559, 5560 and 5561 of 2023 filed by Geeta Khattar

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

Appeal No 5562 of 2023 filed by A Anandhi

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

Appeal No 5563 of 2023 filed by Himanshu Dubey

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

Appeal No 5564 of 2023 filed by Rohit Singh Chauhan

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

Appeal No 5565 of 2023 filed by Pranay Shastri

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

Wilsons Advisory and Stockbroking Ltd ACN 010 529 665 pays $548,328 infringement notice

Wilsons Advisory and Stockbroking Ltd ACN 010 529 665...

Minutes of the Meeting of the Treasury Borrowing Advisory Committee January 31, 2023

The Committee convened in a closed session at the...

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Agreed settlement – Albatros Private Office

This press release is not available in English. Please consult the French or Dutch site. This news item was originally published by the Financial Services and Markets Authority (FSMA...

Judgment Session on 1/31

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...

Statement on Jury’s Verdict in Trial of Bernard Findley and Halitron Inc

Gurbir S. GrewalDirector, Division of Enforcement Jan.

Wiseling Oy is not authorised by the Financial Supervisory Authority to provide investment services

The Financial Supervision Authority (FIN-FSA) has received an exceptional number of enquiries concerning the activities of Wiseling Oy (Business ID: Y-3138760-7). Most of these...

FXCT Investments

  • Scams and Fraud
  • +2Licensing/Registration/Certification/Authorization/Membership, Unauthorized Firms
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

Hanover Fiduciaries Limited

Published on: 13 August 2020 Notice is hereby given that Hanover Fiduciaries Limited which was licensed under Section 7 of the Financial Services Act 2008, has surrendered its licence with ef

Clayton Formosa and Odin Professional Services (“Odin”) – MFSA

The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of twenty-five thousand euros (€25,000) and directed Mr Clayton Formosa to cease the provisi

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The SEC Levels Up: Statement on In re Activision Blizzard

Feb. 3, 2023 Today, the Commission announced a $35 million settlement with Activision Blizzard Inc. (“Activision Blizzard”).

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

Washington D.C., Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc.

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BLINARUX.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...

Financial watchdog proposes to ban debt packager referral fees to protect consumers

The Financial Conduct Authority (FCA) is to push ahead with proposals to ban debt packager firms from receiving referral fees from debt solution providers,...

HFX CRYPTOFX TRADE

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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