Aggregated News From Investment Management Regulators

RichmondSuper

Attention! The FMA warns investors against concluding transactions with: RichmondSuper https://www.richmondsuper.com (Link...

Hardson Becker Global

Attention! The FMA warns investors against concluding transactions with: Hardson...

“Let’s talk about money” – money laundering: how illegal assets are given a legal appearance

In the latest edition of its consumer information series,...

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

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Assets under Management of Collective Investments at €9.8bn

See the Press Release published by the Cyprus Securities...

List of entities considered suitable to hold LBMA gold and silver good delivery bars

See the Notice from the Investment Industry Regulatory Organization...

GoldingFX (Clone of AR of FCA authorised firm)

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

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

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Order in the matter of Atlas Jewellery India Limited

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

Volume 44, Issue 24

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Cover Team Direct

We believe this firm may be providing financial services...

Regulatory Notice 21-21 | FINRA Eliminates the Order Audit Trail System (OATS) Rules

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)

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

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170 posts from 43 regulators published in the last week

SEC Announces Annual Regulatory Agenda

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)

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

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

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...

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)

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

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

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

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

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

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

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

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,...

Latest U.K. News

GoldingFX (Clone of AR 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...

Cover Team Direct

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

Stratton Capital Ventures

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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