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Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
Financial Industry Regulatory Authority, Inc.
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
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
OCC Hosts Denver Workshop for National Community Bank Board Directors, Bank Management
News Release 2022-72 | June 23, 2022
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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
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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:
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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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EJ Markets
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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
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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
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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
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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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Latest U.S. News
FINRA US
Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
Financial Industry Regulatory Authority, Inc.
FINRA US
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Financial Industry Regulatory Authority, Inc.
OCC US
OCC Hosts Denver Workshop for National Community Bank Board Directors, Bank Management
News Release 2022-72 | June 23, 2022
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Latest U.K. News
FCA GB
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...
FCA GB
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...
FCA GB
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...
