Aggregated News From Investment Management Regulators

Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)

Financial Industry Regulatory Authority, Inc.

Revision of Recommendation 25 – White Paper for Public Consultation

The Financial Action Task Force (FATF) is conducting a...

ASIC warns super trustees to be transparent in their underperformance communications to members

ASIC today released the findings from its review of...

EBA replies to European  Commission’s call for advice on the Mortgage Credit Directive review

The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .

Press release on the reopening of trading in Home Invest Belgium

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED...

ASIC calls for better disclosure of business risks and asset values following financial reports review

ASIC’s latest review of the financial reports of 70...

Information on Savings and Loan Cooperatives at the end of February 2022

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

Sanctions Update – 24th June 2022

Published on: 24 June 2022 Russia   The Authority has been notified that the Isle of Man Treasury has recently published new and updated information regarding the above Sanction regimes.

New Webcast: Member Information Session about New SRO Public Comment Materials

On June 10, 2022, IIROC hosted an information session...

Canadian Securities Administrators publish staff notice on Information Processor for Exchange-Traded Securities other than Options

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

ESMA Questions and Answers on the Market Abuse Regulation

See a PDF of the Questions and Answers published...

ESAs refer stakeholders to Commission statement on the application date of new PRIIPs rules

The European Supervisory Authorities (ESAs) would like to draw the attention of stakeholders to a Read more

ESAs refer stakeholders to Commission statement on the application date of new PRIIPs rules

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

Notice of Demand dated June 23, 2022 issued to Makkena Rama Krishna [Defaulter] in the matter of Venus Power Ventures (India) Limited.

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

Notice of Demand dated June 23, 2022 issued to Makkena Rama Krishna [Defaulter] in the matter of Venus Power Ventures (India) Limited

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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193 posts from 45 regulators published in the last week

EJ Markets

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

Warning regarding unregulated entities

The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the following websites do not belong to an entity which has been...

ASIC releases May 2022 financial adviser exam results

ASIC has released exam results from the 17th Financial Advisers Exam cycle, held in May 2022. The exam has been continuously conducted by the Australian Council...

Deputy Director Zixta Martinez’s Keynote Address at the Consumer Federation of America’s 2022 Consumer Assembly

Good morning. Thank you to Ann for the kind introduction. Thank you to the Consumer Federation of America for inviting the Consumer Financial Protection...

Feedback and Final Consultation on Professional Indemnity Insurance for Fiduciary, Investment, Insurance Intermediary and Insurance Manager Sectors

Feedback and Final Consultation on Professional Indemnity Insurance for Fiduciary, Investment, Insurance Intermediary and Insurance Manager Sectors The Commission has issued today two feedback statem

Trading platform investirex.com: BaFin investigates Castan Holdings LTD

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Castan Holdings LTD, Saint Vincent and the Grenadines, has not been granted

Press release on the suspension of trading in Mithra

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial...

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FCA seeks re-trial in insider dealing case

The Financial Conduct Authority will pursue a re-trial of Stuart Bayes and Jonathan Swann for insider dealing offences. This follows the Court’s decision on 25...

FINANCEDFXTRADES

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

CRYPTFX GAIN

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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