Regulatory.News | Aggregated Regulatory News for Investment Managers

Summary Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Syste

White Thorn Capital Limited (the Impersonating Entity)

JFSC JE June 18, 2021 10:23 AM 0

White Thorn Capital Limited (the Impersonating Entity)www.whitethorncap.co.uk (the Website)[email protected]

Press Conference by the Minister of State for Financial Services (May 25, 2021)

FSA JP June 18, 2021 10:10 AM 0

Provisional Translation (Excerpt) (Tuesday, May 25, 2021, 10:48 am to 11:05 am) [Questions and answers:] Q. Regarding SBI Holdings, Inc.

Press Conference by the Minister of State for Financial Services (May 18, 2021)

FSA JP June 18, 2021 10:09 AM 0

Provisional Translation (Excerpt) (Tuesday, May 18, 2021, 9:33 am to 9:40 am) [Questions and answers:] Q.

Press Conference by the Minister of State for Financial Services (May 11, 2021)

FSA JP June 18, 2021 10:04 AM 0

Provisional Translation (Excerpt) (Tuesday, May 11, 2021, 11:06 am to 11:21 am) [Questions and answers:] Q.

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170 posts from 43 regulators published in the last week

SEC Announces Annual Regulatory Agenda

SEC US June 11, 2021 6:04 PM 0

The Office of Information and Regulatory Affairs today released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions.

Ashgrove Capital Management (clone of FCA authorised firm)

FCA GB June 10, 2021 10:14 AM 0

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Releasing Order Ms. Suchita Goyal in the matter of Real Growth Commercial Enterprises Limited

SEBI IN June 10, 2021 9:51 AM 0

Enforcement/Litigation/I...

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

FSA publishes Weekly Review No.443

FSA JP June 10, 2021 9:59 AM 0

June 10, 2021 What’s New on the FSA Website Week of May 28, 2021 – June 3, 2021 This page contains the latest in events, developments, and updates to the FSA website.

Testimony of Deputy Assistant Secretary for Tax Policy Mark J. Mazur to the Subcommittee on Oversight and Subcommittee on Select Revenue Measures, U.S. House...

UST US June 11, 2021 11:17 AM 0

Chairman Thompson, Chairman Pascrell, Ranking Member Smith, Ranking Member Kelly, and Members of the Subcommittees: Thank you for inviting me to discuss tax compliance...

ICO Crypto (clone of FCA authorised firm)

FCA GB June 10, 2021 10:13 AM 0

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

The AMF Enforcement Committee fines an investment service provider for breaches of its professional obligations

AMF FR June 10, 2021 6:04 PM 0

Enforcement/Litigation/I...

In its decision of 4 June 2021, the Enforcement Committee imposed a fine of €220,000 on Arkea Direct Bank.

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FRB US

Chair Powell will host town hall with educators August 2, 2021 at 4 p.m. EDT

June 18, 2021 10:52 AM 0

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FRB US

Federal Reserve Board announces termination of enforcement action with Craco, Inc.

June 18, 2021 10:41 AM 0

Enforcement/Litigation/I...

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OFAC US

Issuance of Syria General License 21, Venezuela General License 39, and Iran General License N, “Authorizing Certain Activities to Respond to the Coronavirus...

June 18, 2021 10:39 AM 0

The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is issuing Syria General License 21, Venezuela General License 39, and Iran General License N,...