Aggregated News From Investment Management Regulators

SEC Charges Barred Broker and His Company with Defrauding Older Americans

Defendant Promised Hefty Returns while Spending Investors’ Money on Luxury Goods Washington D.C., Aug.

CPMI and IOSCO publish a discussion paper on CCPs’ practices for addressing non-default losses

See PDF published by the International Organization of Securities Commissions (IOSCO) here: Read more

FCA encourages market participants to continue transition of LIBOR-linked bonds

This statement is for issuers and bondholders of outstanding...

IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

When introducing the Investment Firm Prudential Regime (IFPR) in...

Starling Credit (Clone of FCA Authorised Firm)

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

Lending Cart (Clone of FCA Authorised Firm)

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

Notice of Attachment of Bank Accounts and Demat Accounts 8786 & 8787 of 2022 dated August 12, 2022 against Shri Rakesh Kumar, Shri Lalit...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8796 & 8797 of 2022 dated August 16, 2022 against HSI Infotech Pvt. Ltd. ...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8808 & 8803 of 2022 dated August 16, 2022 against Unickon Securities Pvt....

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

Notice of Attachment of Bank Accounts and Demat Accounts 8794 & 8795 of 2022 dated August 16, 2022 against Goldline International...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8798 & 8799 of 2022 dated August 16, 2022 against Renu Jindal in...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8800 & 8801 of 2022 dated August 16, 2022 against Bikramjit Ahluwalia and...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8806 & 8807 of 2022 dated August 16, 2022 against Bikramjit Ahluwalia...

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

Notice of Attachment of Bank Accounts and Demat Accounts 8808 & 8809 of 2022 dated August 16, 2022 against Bikramjit Ahluwalia...

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

Certificate No. 5167 _A.P Nos 8790& 8791 of 2022_ Prasun Mandal

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

Certificate No. 5168 _A.P Nos 8792& 8793 of 2022_ Sanjoy Chowhan

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

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123 posts from 32 regulators published in the last week

FINRA Amends the Code of Arbitration Procedure for Industry Disputes to Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual...

Summary Following the enactment of the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 (Act), FINRA amended the Code of Arbitration Procedure for Industry Disputes (Code

Canadian securities regulators to host roundtable on the proposed Derivatives Business Conduct Rule

TORONTO – The Canadian Securities Administrators (CSA) today announced it will host a virtual roundtable on the proposed derivatives business conduct rule, the CSA’s next step towards modernizing the

DATA PROTECTION, TECHNOLOGY AND PRIVATE SECTOR INFORMATION SHARING

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Mr Ian Charles Domaille, (Born: 4 November, 1962), of Les Prevosts, La Rue Des Prevosts, St Saviours, Guernsey, GY7 9UQ

Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions: From 29 July 2022 until 29 July 20

Bank of America Corporation: BaFin imposes administrative fine

On 2 August 2022, BaFin imposed an administrative fine amounting to 5,100,000 euros on Bank of America Corporation.

William Fountain Insurance Brokers (Clone of FCA Authorised Firm)

  • Scams and Fraud
  • +2Licensing/Registration/Certification/Authorization, Unauthorized Firms
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

ASIC’s surveillance of internal dispute resolution in superannuation identifies concerns

Superannuation trustees are being urged to review their internal dispute resolution (IDR) arrangements after the first stage of an ASIC surveillance found indicators of...

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FCA encourages market participants to continue transition of LIBOR-linked bonds

This statement is for issuers and bondholders of outstanding LIBOR-linked bonds. The FCA is strongly encouraging issuers and bondholders of outstanding LIBOR-linked bonds to...

IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

When introducing the Investment Firm Prudential Regime (IFPR) in January 2022, we renamed and moved the definition of ‘Significant IFPRU firm’ used as one...

Starling Credit (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...
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