Aggregated News From Investment Management Regulators

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CRYPTO PORTION

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...

CAPITAL CRYPTO TRADE

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...

FX CRYPTO MAVENS

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...

CVM warns of irregular performance by Raw Trading LTD, International Capital Markets Pty, IC Markets (EU) Ltd. and IC Markets Ltd. as securities brokers

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. The Securities and Exchange Commission (CVM) warns the capital market and the general public about the irregular performance of Raw Trading...

Launch of the ESMA Common Supervisory Action on valuation of UCITS and open-ended AIFs

On 20 January 2022, the European Securities and Markets Authority (ESMA) launched, in accordance with the announcement hereafter, a Common Supervisory Action (CSA) with national competent authorities (NCAs) on valuation of UCITS and open-ended AIFs (“CSA on valuation”) across the European Union: ESMA launches a Common Supervisory Action with NCAs...

CRYPTOCRYSTALTRADE

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...

Cryptofxtradeapi

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...

Ozon F Corporation

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...

Announcement on call for evidence on the DLT Pilot Regime-ESMA

See the Announcement published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Adjudication Order in respect of Mr. A. Arulanandam in the matter of Titan Company Ltd.

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

Adjudication Order in respect of K. Anandan in the matter of Titan Company Ltd.

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

Securities and Exchange Board of India (Employees’ Service) (Amendment) Regulations, 2022

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

Order in the matter of Fast Track Finsec Private Limited

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

Adjudication Order in respect of Soumya Goyal in the matter of dealing in Illiquid Stock Options at BSE

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

In the matter of unregistered investment advisory services by Capital Exchange India

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

Adjudication Order in the matter of Jagruti Sugar and Allied Industries Limited

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

Adjudication order in the matter of ISG Traders Limited

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

Former employment agency director pleads guilty to directors’ duties charge

Former employment agency director Raita Konita Pakoti, also known as Rachel Edwards, of Werribee, Victoria, has pleaded guilty to one count of breaching her directors’ duties. From 9 February 2009 to 26 January 2016, Ms Edwards was the sole director of employment agency Westpower Victoria Pty Ltd (In Liquidation)...

Interim Order in the matter of insider trading in the scrip of Lux Industries Limited

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

Administrative sanction of 16 December 2021

Administrative sanction imposed on a payment institution  PDF (31.77KB)  PDF (31.05KB) This news item was originally published by the Commission de Surveillance du Secteur Financier (CSSF LU). For more information, please see the Source Link.

Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults)

Financial Industry Regulatory Authority, Inc.

Issuance of Ukraine-related General Licenses 13Q and 15K and Amended Frequently Asked Questions

OFAC is issuing Ukraine-related General License No. 13Q, "Authorizing Certain Transactions Necessary to Divest or Transfer Debt, Equity, or Other Holdings in GAZ Group," and Ukraine-related General License 15K, "Authorizing Certain Activities Involving GAZ Group." These licenses were previously extended on December 23, 2020 for a period of 1...

Regulatory Action against Family Office Malta Limited (“the Company”)

The Malta Financial Services Authority (“MFSA”) decide
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