Aggregated News From Investment Management Regulators

United States

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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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,...

Amendment of Narcotics Trafficking Sanctions Regulations and Foreign Narcotics Kingpin Sanctions Regulations

The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is amending the Narcotics Trafficking Sanctions Regulations, 31 C.F.R. part 536, and the Foreign Narcotics Kingpin Sanctions Regulations, 31 C.F.R. part 598, to add or amend general licenses with respect to payments for legal services, certain transactions for personal maintenance, certain transactions for maintenance of blocked tangible property, and emergency medical services, among other things.  This regulatory amendment is currently available for public inspection with the Federal Register and will take effect upon publication in the Federal Register on May 17, 2021. This news item was originally published by...

Remarks by Secretary Janet L. Yellen at the Pontifical Academy of Sciences and the Pontifical Academy of Social Sciences Event Dreaming of a Better...

The COVID-19 pandemic has had a devastating effect on human life and our economies. It has also exacerbated global inequality, potentially undoing years of gains in reducing poverty and international economic convergence. Low-income countries are in a particularly difficult situation. Not only are they are facing rising poverty levels, but also increasing debt burdens, and little policy space. Many low-income countries lack the resources to pay for vaccines, support households and businesses hurt by the economic crisis, and meet their debt payments. I am concerned about a persistent spike in global poverty and a long-lasting global divergence in prosperity.u The United...

Regulatory Relief: Guidance to Help Financial Institutions and Facilitate Recovery in Areas of Tennessee Affected by Severe Storms, Tornadoes, and Flooding

The FDIC has announced a series of steps intended to provide regulatory relief to financial institutions and facilitate recovery in areas of Tennessee affected by severe storms, tornadoes, and flooding.

Treasury Distributes $742 million to States and Territories through Homeowner Assistance Fund

Today, the U.S. Department of the Treasury announced that it has distributed $742 million to 42 states and 3 territories through the Homeowner Assistance Fund (HAF). A part of the Biden-Harris Administration’s American Rescue Plan, HAF was designed to prevent mortgage delinquencies and defaults, foreclosures, loss of utilities or home energy services, and displacement of homeowners experiencing financial hardship due to the COVID-19 public health crisis. “Today there are over 3 million homeowners behind on mortgage payments, and the pandemic has exacerbated the country’s already severe housing affordability crisis,” said Deputy Secretary of the Treasury Wally Adeyemo. “Treasury is focused...

Speech by Governor Waller on the economic outlook and monetary policy

Thank you, Kathleen, and thank you, George and the Global Interdependence Center, for the invitation to speak to you this afternoon. I am with you to talk about my outlook for the U.S.

Regulator Information

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: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: SEC
Jurisdiction: United States
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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