Aggregated News From Investment Management Regulators

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Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)

Financial Industry Regulatory Authority, Inc.

Revision of Recommendation 25 – White Paper for Public Consultation

The Financial Action Task Force (FATF) is conducting a review of Recommendation 25 (R.25) on the transparency and beneficial ownership (BO) of legal arrangements. The FATF’s objective is to improve R.25 and its Interpretive Note to better meet its stated objective to prevent the misuse of legal arrangements for...

ASIC warns super trustees to be transparent in their underperformance communications to members

ASIC today released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products. The test measures the performance of MySuper products against prescribed benchmarks according to a trustee’s own strategic asset allocation. Report 729 Review of trustee communications about the...

EBA replies to European  Commission’s call for advice on the Mortgage Credit Directive review

The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .

Press release on the reopening of trading in Home Invest Belgium

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 Home Invest Belgium, ISIN BE0974409410 on Euronext Brussels will re-open on 24/06/2022 at 09:00 CET. This news item was originally published by the Financial...

ASIC calls for better disclosure of business risks and asset values following financial reports review

ASIC’s latest review of the financial reports of 70 listed entities for the year ended 31 December 2021 has resulted in inquiries of 18 entities about 31 matters, mostly related to insufficient disclosure of business risks in the operating and financial review and impairment of assets. ASIC Commissioner Sean Hughes...

Information on Savings and Loan Cooperatives at the end of February 2022

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 statistical information at the end of February 2022 of the Cooperative Savings and Loan Societies sector (SOCAP), made...

Sanctions Update – 24th June 2022

Published on: 24 June 2022 Russia   The Authority has been notified that the Isle of Man Treasury has recently published new and updated information regarding the above Sanction regimes.

New Webcast: Member Information Session about New SRO Public Comment Materials

On June 10, 2022, IIROC hosted an information session about the key aspects of the public comment materials released by the Canadian Securities Administrators (CSA). The deadline to submit comments to the CSA on the materials is June 27, 2022. This webcast covered: New SRO Interim Rules (Investment Dealer rules,...

Canadian Securities Administrators publish staff notice on Information Processor for Exchange-Traded Securities other than Options

Regulated Industries FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-oper

OCC Hosts Denver Workshop for National Community Bank Board Directors, Bank Management

News Release 2022-72 | June 23, 2022 Share This Page:

ESMA Questions and Answers on the Market Abuse Regulation

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

CFTC Orders Starberry Limited to Pay Over $1.37 Million for Failing to Register as a Futures Commission Merchant

ESAs refer stakeholders to Commission statement on the application date of new PRIIPs rules

The European Supervisory Authorities (ESAs) would like to draw the attention of stakeholders to a

ESAs refer stakeholders to Commission statement on the application date of new PRIIPs rules

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

Notice of Demand dated June 23, 2022 issued to Makkena Rama Krishna [Defaulter] in the matter of Venus Power Ventures (India) Limited.

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

Notice of Demand dated June 23, 2022 issued to Makkena Rama Krishna [Defaulter] in the matter of Venus Power Ventures (India) Limited

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

RC.No.4766 – Notices of Attachment dated 23.06.2022 – Recovery proceedings under RC.No.4766 against Newgen International Pvt. Ltd. (PAN AACCN3776H) in the matter of GDR...

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

RC.No.4767 – Notices of Attachment dated 23.06.2022 – Recovery proceedings under RC.No.4767 against Alka India Ltd. (PAN AABCA6702F) in the matter of GDR Issue...

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. Akshay Jitendrakumar Brahambhatt

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

CEWE Stiftung & Co. KGaA: BaFin imposes administrative fine

On 1 June 2022, BaFin imposed an administrative fine amounting to 600,000 euros on CEWE Stiftung & Co. KGaA.

Trading platforms hashtrade.pro, equity-broker.co and prgntrade.co: BaFin investigates Xertz Consulting Inc.

The information provided on the websites operated by Xertz Consulting Inc., hashtrade.pro, equity-broker.co and prgntrade.

Trading platform investirex.com: BaFin investigates Castan Holdings LTD

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Castan Holdings LTD, Saint Vincent and the Grenadines, has not been granted
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