Aggregated News From Investment Management Regulators

McCarter Capital Partners

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

TorexFX/42 Marketing Limited (clone of FCA authorised firm)

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

Federal Reserve Board issues enforcement action with Texico Bancshares Corporation and Texico State Bank

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

eagle advisory services

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

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.

The promises neo-brokers make – and the ones they keep

It all seems so simple: customers need only make a few clicks on neo-brokers’ online platforms or trading apps to buy or sell securities.

uk-best-isa.com

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

bestcompare-ukinvestments.com

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

Trustee (Amendment) Act, 2021

Trusts & Estates Attachment: trustee_amendment_act_2021.pdf <!-- --> This news item was originally published...

Volume 44, Issue 29

Use this form to submit website feedback and suggestions, or to inform us about website issues.

BMI MARKETS SERVICE LIMITED/ BMI MARKETS

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

Proliferation Financing (Prohibition) Act, 2021

AML-CFT Attachment: proliferation_financing_prohibition_act_2021.pdf <!-- --> This news item was originally published by the...

Proceeds of Criminal Conduct (Amendment) Act, 2021

AML-CFT Attachment: proceeds_of_criminal_conduct_amendment_act_2021.pdf <!-- --> This news item was originally published by the...

Regulatory Notice 21-27 | FINRA Announces Update of the Interpretations of Financial and Operational Rules

Executive Summary FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Divisi

OSC Staff Notice 15-707 Enforcement Investigation Guidance

Use this form to submit website feedback and suggestions, or to inform us about website issues.

OSC Staff Notice 15-708 Document Production Guidance

Use this form to submit website feedback and suggestions, or to inform us about website issues.

Drug Trafficking Offences (Amendment) Act, 2021

AML-CFT Attachment: drug_trafficking_offences_amendment_act_2021.pdf This news item was originally published by the...

Financial Services (Exemptions) (Amendment) Regulations, 2021

Governance Attachment: financial_services_exemptions_amendment_regulations_2021.pdf This news item was originally published by the...

Learn About Regulatory.News

REGULATORY.NEWS STATS

210 posts from 40 regulators published in the last week

Phase-In of Corporate and Government Debt Reporting Completed

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Nava Gates / Share Oracle Ltd

Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us.

“More action is needed by lenders to resolve long-term mortgage arrears, to support distressed borrowers and improve the functioning of the mortgage market for...

Lenders effectively supported borrowers throughout the pandemic and appear to be well-prepared for emerging distress as government supports taper. Supervising this will be...

Counter ISIS Finance Group Leaders Issue Joint Statement

Global Coalition to Defeat ISIS Convenes Fourteenth Finance Working Group Meeting The Counter ISIS Finance Group (CIFG) of the Global Coalition to Defeat ISIS held...

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

TORONTO – The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) remind banks of mandatory transparency requirements that take effect

Final Order in the matter of Crayon Capital Art Fund

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

Financial Action Task Force (FATF) Advances Its Work on Proliferation Finance, Virtual Assets, Financing of Racially or Ethnically Motivated Violent Extremism, and Financial Flows...

Today the Financial Action Task Force (FATF) concluded its fourth virtual plenary since the start of the ongoing COVID-19 pandemic. The FATF advanced its...

Popular Topics

Get the latest from Regulatory.News in your inbox!

Latest U.S. News

Federal Reserve Board issues enforcement action with Texico Bancshares Corporation and Texico State Bank

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

Regulatory Notice 21-27 | FINRA Announces Update of the Interpretations of Financial and Operational Rules

Executive Summary FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Divisi

Readout: Secretary of the Treasury Janet L. Yellen’s Meeting with the Heads and Private-Sector Leads of the Multilateral Development Banks to Discuss Climate Finance

Today, Secretary of the Treasury Janet L. Yellen convened the heads and private-sector leads of several of the multilateral development banks (MDBs) to discuss...

Latest U.K. News

McCarter Capital Partners

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

TorexFX/42 Marketing Limited (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...

eagle advisory services

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
New: Receive Email Alerts for Posts from Selected Regulators and TopicsLearn More
×