Aggregated News From Investment Management Regulators

Americas

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

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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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 Financial Companies, Regulated Entities (SofomERs) Statistical information is published on the Unconsolidated SofomERs sector with Multiple Banking Institutions, at the end of March 2021, made up of 26 institutions in operation. In March 2021, the assets of the sector (SofomERs) were located at $ 256,531 million pesos (mdp), with a...

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

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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 Idris"), Owainat Village, Owainat District, Salah Ad Din Province, Iraq; Turkey; Albu Dur, Tikrit, Salah-ad Din Province, Iraq; DOB 01 Jul 1971; POB Albu Dur, Tikrit, Salah-ad Din Province, Iraq; nationality Iraq; Gender Male (individual) . HLAING, Ko Ko (a.k.a. HLAING, U Ko Ko), 3, IPRD Wing, East Shwegonedine Road, Bahan,...

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 access to Treasury’s programs. With the Passage of the American Rescue Plan, more than $400 billion of which will be distributed by Treasury, the Department has an opportunity and a responsibility to apply principles of equity as it works to implement this program. Deputy Secretary Adeyemo understands that communities that...

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 — covering 88 percent of children in the United States — are slated to begin receiving monthly payments without any further action required. Treasury and the IRS also announced the increased CTC payments, will be made on the 15th of each month, unless the 15th falls on a weekend or holiday,...

PlexCoin matter: The Québec Superior Court asks creditors to file a proof of claim in order to participate in a possible distribution

The Québec Superior Court asks any person holding a claim in the matter of Dominic Lacroix to file a proof of claim with Raymond Chabot Administrateur Provisoire Inc., appointed Receiver of Dominic Lacroix, no later than on August 4, 2021. On May 7, 2021, the Honourable Daniel Dumais, Judge of the Québec Superior Court, issued a Claims Procedure Order. Under this order, any person with a claim in the matter of Dominic Lacroix must file a proof of claim with the Receiver by completing and filing the online claim form at the address www.raymondchabot.com/en/companies/public-records/dominic-lacroix/ no later than on August 4,...

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) remind banks of mandatory transparency requirements that take effect on May 31, 2021, requiring them to report information about corporate and government debt transactions to IIROC. On June 4, 2020, the CSA adopted amendments to National Instrument 21-101 Marketplace Operation that introduce post-trade transparency requirements for government debt securities and expanded transparency requirements for corporate debt securities. The changes require that a person or company that executes transactions in corporate or government debt securities provide information on their trades to IIROC, the information processor, for public...

Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

TORONTO – The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) remind banks of mandatory transparency requirements that take effect

Regulator Information

Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FCNB
Jurisdiction: Canada
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: UST
Jurisdiction: United States

Recent Articles

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...

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...

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...

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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