Aggregated News From Investment Management Regulators

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SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

Washington D.C., Sept.

SEC Charges Two Canadian Software Engineers with Insider Trading

Washington D.C., Sept. 30, 2022 — The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.

AMF Chair: Proposal to appoint Marie-Anne Barbat-Layani

Yesterday, the President of the Republic put forward the name of Marie-Anne Barbat-Layani to chair the AMF.

The EBA publishes its Report on the first mandatory exercise on Basel III full implementation impact

The European Banking Authority (EBA) today published its first mandatory Basel III Monitoring Report which assesses the impact that Basel III full implementation will have on EU banks in 2028.

ESAs propose disclosures for fossil gas and nuclear energy investments

See the content published by the European Securities and Markets Authority (ESMA) here:

ESAs propose disclosures for fossil gas and nuclear energy investments

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) have today delivered to the European Commission (EC) their Final Report with draft Regulatory Technical Standards (RTS) regardi

Tender regarding the ‘Supply of Microsoft 365 (Business Standard) Licences’

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

Escrow Custodian Service 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....

Volume 45, Issue 39

This news item was originally published by the Ontario Securities Commission (OSC CA). For more information, see the

ESAs propose disclosures for fossil gas and nuclear energy investments

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) have today delivered to the European Commission (EC) their Final Report with draft Regulatory Technical Standards (RTS) regardi

The Capital Market Authority Announces the Approval on the Registration and the Public Offering of Debt-Based Recourse Debt Instruments Program of the Special Purposes...

The Capital Market Authority (“CMA") announces the issuance of its Board resolution dated 1444/03/02 AH corresponding to 2022/09/28 AD approving the application of Special Purposes Entity Al Kathiry Sukuk (“SPE") for the registration and public offering of debt-based recourse debt instruments within a program that does not exceed the...

DFINEXMARKET

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...

Identical letter to all companies on Oslo Børs regarding deficiencies in ESEF reporting

Finanstilsynet has reviewed the companies’ financial reporting and has observed deficiencies in reporting in accordance with ESEF and in the publication and storage of annual reports and audit

Revisions to the MiFID Firms Quarterly Reporting

Revisions to the MiFID Firms Quarterly Reporting – MFSA

BITFOREX FINANCE

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...

CHAINSWIFTFX

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...

FSA publishes Weekly Review No.507

April 28, 2022 Warning against the surge in online banking fraudThe FSA issued a warning against online banking fraud arising from SMS (short message services)/email phishing attacks that surged in

FCA announces decision on cessation of 1- and 6-month synthetic sterling LIBOR at end-March 2023

Publication of 1- and 6-month synthetic sterling LIBOR will be required until end-March 2023, after which these settings will permanently cease. We previously required ICE Benchmark Administration (IBA), the administrator of LIBOR, to continue publication of the 1-, 3- and 6-month sterling and yen LIBOR settings for an additional year...

Press release on the reopening of trading in Rosier

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 Rosier, ISIN BE0003575835 on Euronext Brussels will re-open on 30/09/2022 at 11:30 CET. This news item was originally published by the Financial Services and...

Caution : Coine-eo

The Financial and Consumer Services Commission (FCNB) is warning New Brunswick investors that the following company is not registered to deal or advise in securities in New Brunswick: Name: Coine-eo

Adjudication Order in respect of Shailendra Mehta in the matter of circulation of UPSI through WhatsApp messages with respect to Mindtree 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 Mr. Raj Aryan in the matter of Titan Company Limited

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: 123...1,204Page 1 of 1,204
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