Aggregated News From Investment Management Regulators

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CFTC US

The Global Markets Advisory Committee Announces Agenda for February 13 Meeting

SEC US

SEC Division of Examinations Announces 2023 Priorities

Washington D.C., Feb. 7, 2023 — The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities.
CFTC US

CFTC Commissioner Pham Announces Additional Staff Appointment

SEC US

Prepared Remarks Before the Small Business Capital Formation Advisory Committee

Washington D.C. Feb. 7, 2023 Good morning. It is good to join the advisory committee for your first meeting of the year.
SEC US

Investor Alert: Self-Directed IRAs and the Risk of Fraud

Feb.
SEC US

SEC Seeks Applicants for Public Company Accounting Oversight Board Seat

Washington D.C., Feb.
SEBI IN

Certificate No. RC4733 of 2022_A.P Nos 9745 & 9746 of 2023 _ Rajendra Prasad Rohit Kumar HUF (PAN: AACHR7534J)_Illiquid Stock Options

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

Notice of Demand dated February 07, 2023 issued to Bikash Kumar Jain – Research Analyst [Defaulter], PAN: AEAPJ9528E, in the matter of Bikash Kumar...

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

Notice of Attachment of Bank Accounts and Demat Accounts 9768 & 9769 of 2023 dated February 07, 2023 against Shiva Commodities Private Limited in...

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

Notice of Attachment of Bank Accounts and Demat Accounts 9770 & 9771 of 2023 dated February 07, 2023 against Mukund Bhardwaj [Defaulter] PAN: AHHPB0587H,...

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

Final Order in the matter of M/s GVM Research

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

The European Supervisory Authorities meet stakeholders from across the financial sector amid preparations for Digital Operational Resilience Act

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) held a
MFSA MT

Circular on Draft Regulatory Technical Standards on Identification of Groups of Connected Clients and Draft Regulatory Technical Standards on Criteria for Identifying Shadow Banking...

Circular on Draft Regulatory Technical Standards on Identification of Groups of Connected Clients and Draft Regulatory Technical Standards on Criteria for Identifying Shadow Banking Entities ̵
FCA GB

AB Funding (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 more about this 'clone firm'. Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us....
FCA GB

FXCHAINS-LTD

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the...
FCA GB

Forex Chefs

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the...
FCA GB

Cryptouniverseprofit L.P.

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the...
FCA GB

iToroStocks Ltd

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the...
FCA GB

OctaMarketstrading

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the...
EBA

The European Supervisory Authorities meet stakeholders from across the financial sector amid preparations for the Digital Operational Resilience Act

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) held a joint public event in the format of a technical discussion about the Digital Operational Resilience Act (DORA) on 6 Febr
FRA EG

The Financial Control Authority develops registration rules to facilitate the procedures for capital increases necessary for expansion and business development

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Authorizing the Extraordinary General Assembly of the Board of Directors to complete the capital increases according to a timetable and to...
ASIC AU

Don George Evans sentenced for conspiring to manipulate Quantum shares

On 31 January 2023, Don George Evans of Woodlands, Western Australia, was sentenced in the Supreme Court of Western Australia to 12 months' imprisonment. Mr Evans will be released immediately upon entering into a recognisance of $5000, to be of good behaviour for two years. Mr Evans was sentenced for...
FSA JP

International Conference on Sustainability Disclosure

ESMA

Artificial intelligence in EU securities markets

See the content published by the European Securities and Markets Authority (ESMA) here: 123...1,395Page 1 of 1,395
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