Aggregated News From Investment Management Regulators

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

SEC US

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See the Proposed Rule published by the Securities and Exchange Commission (SEC US) here: Source Link

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Regulator Information

Regulator Name: Securities and Exchange Commission
Abbreviation: SEC
Jurisdiction: United States
Website: http://www.sec.gov/
Email: [email protected]
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Recent Articles

CFTC Staff Revises No-Action Positions Regarding External Business Conduct Standards and Documentation Standards for Intended-To-Be-Cleared Swaps

CFTC US 0

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Grand Trust Holdings United Kingdom

FCA GB 0
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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Announcement for the referral of a suspicion of violating Article (49) of the Capital Market Law and Article (2) of the Market Conduct Regulations...

CMA SA 0
In line with the Capital Market Authority's (CMA) responsibilities to protect the citizens and investors from unfair or unsound practices, and aiming to achieve...
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Guidance on Application for Registration of a Virtual Assets Service Provider

BVI FSC VG 0
Guidance Attachment: guidance_-_application_for_vasp_registration.pdf This news item was originally published by the British Virgin Islands Financial Services Commission (BVIFSC VG). For more information, please see the Source Link.
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Virtual Assets Service Providers Guide to the Prevention of Money Laundering, Terrorist Financing and Proliferation Financing

BVI FSC VG 0
Guidance Attachment: vasp_aml_cft_guidance.pdf This news item was originally published by the British Virgin Islands Financial Services Commission (BVIFSC VG). For more information, please see the Source...
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