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Circular CSSF-CODERES 21/13
Single Resolution Fund – Information request by the Single...
Communiqué No. 95 CNBV Issued Modifications to the Provisions for Hiring Bank Commissioners
This post was translated by Regulatory.News for informational purposes...
Volume 43, Issue 48
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Amendments to OSC Rule 13-502 Fees
1. Ontario Securities Commission Rule 13-502 Fees is amended by this Instrument.
2. The definition of “unregistered capital markets participant” in section 1.
FORTIFICATION CAPITAL INC.
Investment Industry Regulatory Organization of Canada has been informed...
Vice Chairman FANG Xinghai Virtually Met with Mr. Rostin BEHNAM, Acting Chairman of the U.S. Commodity Futures Trading Commission
On 14th September 2021, CSRC Vice Chairman FANG Xinghai...
Order in the matter of DCB Bank Ltd.
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
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IIROC Sanctions Former Toronto Investment Advisor Scott Andrew Hanson
View the Notice from the Investment Industry Regulatory Organization...
IQE Limited
Published on: 24 September 2021
Financial Services Act 2008
IQE Limited
Notice is hereby given that IQE Limited, which was licensed under Section 7 of the Financial Services Act 2008, has surrendered
IN THE MATTER OF Yonathan Chanoch Shields – Penalty Hearing
View the Notice from the Investment Industry Regulatory Organization...
Report on competition in the Australian funds management industry released
ASIC has today released a report on the state...
Brant Securities Limited
The Investment Industry Regulatory Organization of Canada has been...
Managing significant areas of risk guidance
View the Notice from the Investment Industry Regulatory Organization...
Sentor Solutions Commercial Ltd consumer warning
We have taken action against the authorised firm, Sentor...
FSA publishes Weekly Review No.457
This news item was originally published by the Financial Services Agency (FSA JP). For more information, see the
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Macroprudential decision: Loan cap remains at 85%, no changes to banks’ countercyclical capital buffer requirement
The Board of the Financial Supervisory Authority (FIN-FSA) has...
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HyperFund
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary...
THE CNMV PUBLISHES ITS REPORTS ABOUT THE REPORTS ON CORPORATE GOVERNANCE AND THE REMUNERATION OF BOARD MEMBERS OF LISTED COMPANIES FOR 2020
See the PDF published by the Comisión Nacional del Mercado de Valores (CNMV ES) here: Source link
Non-profit organisations assessed for terrorist financing risk
As part of the Island’s fight against financial crime, we are working with the Government of Jersey to build a better understanding of local non-profit organisations and the potential risk of them be
FCA bans Jon Frensham from working in financial services
The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity.
The FCA found Mr Frensham, an independent...
SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
Washington D.C., Sept. 17, 2021 —
The Securities and Exchange Commission today announced insider trading charges against Dayakar R.
IIROC Re-elects five Board Directors
View the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link
Appeal No. 4400 of 2021 filed by Kedar Bhasme
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
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UST US
More than 420,000 Households Received Emergency Rental Assistance in August, Totaling Over $2.3 Billion in Payments
State and local governments have made over 1.4 million Emergency Rental Assistance payments to households and distributed $7.7 billion since January
The state and local...
Latest U.K. News
FCA GB
Sentor Solutions Commercial Ltd consumer warning
We have taken action against the authorised firm, Sentor Solutions Commercial Ltd, to prevent it carrying out any regulated activities without our prior written...
FCA GB
Gildon International Consultancy
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
FCA GB
Compare Meerkat / compare-meerkat.com (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...
