Aggregated News From Investment Management Regulators

Assessment Report under Article 25(2c) of EMIR – Assessment of LCH Ltd and ICE Clear Europe Ltd – Part 2

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Regulator Information

Regulator Name: European Securities and Markets Association
Abbreviation: ESMA
Jurisdiction: ESMA
Website: https://www.esma.europa.eu/
Email: [email protected]
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Recent Articles

The SEC Levels Up: Statement on In re Activision Blizzard

SEC US 0
Feb. 3, 2023 Today, the Commission announced a $35 million settlement with Activision Blizzard Inc. (“Activision Blizzard”).
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Statement of Renee Jones on her Tenure as Director of the Division of Corporation Finance

SEC US 0
Feb.
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Mr William Stephen Cairns (date of Birth 15 January 1949) of Key West, Doyle Road, St Peter Port Guernsey GY1 1RG — GFSC

GFSC GG 0
Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions: From 2 February 2023 until 2 July
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Mr Du Preez Gert Vermeulen (Date of Birth 5 August 1987) of Doyle Court, Doyle Road, St Peter Port Guernsey GY1 1RD

GFSC GG 0
Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions: From 2 February 2023 until 2 Mar
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Publication of a Notice of the fact of a Prohibition Order and a Discretionary Financial Penalty — GFSC

GFSC GG 0
On 2 February 2023, the Commission imposed discretionary financial penalties as follows:  Mr William Stephen Cairns (“Mr Cairns”) a financial penalty of £133,000; and  Mr Du Preez Gert Vermeulen (“M
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