Aggregated News From Investment Management Regulators

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SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volati

Mannet Capital Management (clone of former PSD Agent)

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....

Verge Capital (Clone of EEA 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....

Capital Finance Strategies Ltd (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....

Federal Reserve Board announces the third extension of a rule to bolster the effectiveness of the Small Business Administration’s Paycheck Protection Program (PPP)

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HeliFX

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...

SKYWAY/NEEW (New Economic Evolution of the World)

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...

myinvestmentoptions.uk

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...

Communiqué No. 49 Statistical information as of March 2021 of the entities of the SofomERs sector

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 CNBV publishes the statistical information at the end of March 2021 of the entities of the sector of Multiple Purpose...

Federal Reserve Board announces approval of applications by The PNC Financial Services Group, Inc. and PNC Bancorp, Inc.

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ECB Banking Supervision to Supervise Securitisation Requirements for Banks – MFSA

The European Central Bank (ECB) today announced its de

ESAs report on the implementation and functioning of the securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority)

FCA announces plans to stop CMC phoenixing

The FCA has announced proposals to stop the practice of ‘claims management phoenixing’, by banning Claims Management Companies (CMCs) from managing Financial Services Compensation Scheme (FSCS) claims where they have a relevant connection to the claim.  Claims management phoenixing occurs when individuals from financial services firms go out of business, but later reappear in connection with CMCs and charge consumers for seeking compensation against...

Extending the deadline set for submitting the financial statements of listed companies and companies under FRA?s supervision for a month

In line with the precautionary measures taken by the Egyptian state and in order to facilitate those operating in the non-banking financial activities, Dr. Omran announces that FRA’s  BOD decides to extend the deadline set for submitting the financial statements of listed companies and companies under FRA’s supervision for...

Press release on the reopening of trading in Recticel

  ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Recticel, ISIN BE0003656676, on Euronext Brussels will re-open on 17/05/2021 at 12:00 CET. This news item was originally published by the Financial Services and...

Press release on the reopening of trading in Cie Bois Sauvage

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Cie Bois Sauvage, ISIN BE0003592038, on Euronext Brussels will re-open on 17/05/2021 at 12:00 CET. This news item was originally published by the Financial...

ESAs’ report on the implementation and functioning of the securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority) published today its analysis of the implementation and the functioning of the EU Securitisation Regulation (SECR), including recommendations on how to address initial inconsistencies...

ESAs’ report on the implementation and functioning of securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority)

Burma-related Designations; Counter Terrorism Designations

SPECIALLY DESIGNATED NATIONALS LIST UPDATE The following individuals have been added to OFAC's SDN List:  AL-FAY, Ibrahim Ali 'Awad (a.k.a. "Abu Ali al-Samarra'i"), Sakarya, Turkey; DOB 1968; Gender Male (individual) . AL-FAY, Idris 'Ali 'Awwad (a.k.a. AL-FAY, Idris Ali Awad Khalif; a.k.a. KHALIF, Idris Ali 'Awad; a.k.a. "Abu Sayf al-Samara'i"; a.k.a. "Mullah...

READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Meeting with House Ways and Means Committee’s Racial Equity Initiative

Deputy Secretary of the Treasury Wally Adeyemo met with House Ways and Means Committee’s Racial Equity Initiative, led by Rep. Terri Sewell (D-AL), Rep. Jimmy Gomez (D-CA), and Rep. Steven Horsford (D-NV), to discuss Treasury’s role in closing the racial wealth gap and ensuring that underserved communities have equitable...

CLOB Professional Advance Group Plc (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....

C447 – ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements

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

Tero Kurenmaa to head Legal Unit at the FIN-FSA

Tero Kurenmaa, Doctor of Laws (LLD), has been appointed Head of the new Legal Unit at the FIN-FSA for a five-year term, commencing 1 June 2021. The Head of Legal Unit is a member of the FIN-FSA’s management group and reports directly to the Director General. The newly established Legal...

Treasury and IRS Announce Families of 88% of Children in the U.S. to Automatically Receive Monthly Payment of Refundable Child Tax Credit

First Payments to Be Made on July 15 The U.S. Department of the Treasury and the Internal Revenue Service announced today that the first monthly payment of the expanded and newly-advanceable Child Tax Credit (CTC) from the American Rescue Plan will be made on July 15. Roughly 39 million households...
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