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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
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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.
bestcompare-ukinvestments.com
We believe this firm may be providing financial services...
Trustee (Amendment) Act, 2021
Trusts & Estates
Attachment:
trustee_amendment_act_2021.pdf
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Volume 44, Issue 29
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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
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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
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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
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OSC Staff Notice 15-708 Document Production Guidance
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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...
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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:
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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...
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Latest U.S. News
FRB US
Federal Reserve Board issues enforcement action with Texico Bancshares Corporation and Texico State Bank
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FINRA US
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
UST US
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
FCA GB
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...
FCA GB
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...
FCA GB
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...
