Aggregated News From Investment Management Regulators

APAC

Notice of Attachment of Bank Accounts and Demat Accounts 8291 & 8292 of 2022 dated May 24, 2022 against Mindex Capital Market Private Limited...

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

Appeal No. 5009 of 2022 filed by Geeta Khattar

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

Appeal No. 5010 of 2022 filed by Geeta Khattar

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

Corrigendum to the Remittance Advice – Surya Medi Tech Ltd. [Defaulter] in the matter of Jolly Plastic Industries Ltd

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

Corrigendum to the Remittance Advice – Shri Kailash Dashottra [Defaulter] in the matter of Euro Finmart Ltd

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

Corrigendum to the Release Order – Capital Securities Ltd. [Defaulter] in the matter of Jolly Plastic Industries Ltd

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

Release Order for RC No. 165 of 2014 against Jitesh Seth in the matter of Adani Exports Ltd

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

Release Order for RC No. 209 of 2014 against Kolar Sharex Pvt. Ltd. in the matter of Adam Comsof Ltd

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 Ms Ethan Constructions Private Limited in the matter of Allied Computers International-Asia Ltd.

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

Notice of Demand under Recovery Certificate No. 4778 of 2022 issued to Ms. Chitra Ramkrishna in the matter of Governance issue at NSE

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

Notice of Demand for Recovery Certificate No. 4777 of 2022 against Mr.Narendra Ganatra in the matter of Shukun Construction Ltd

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

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Email: [email protected]
Abbreviation: CSRC
Jurisdiction: China
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Email: [email protected]
Abbreviation: MAS
Jurisdiction: Singapore
Email: [email protected]
Abbreviation: SEBI
Jurisdiction: India
Email: [email protected]
Abbreviation: FSA
Jurisdiction: Japan
Email: [email protected]
Abbreviation: SEC TH
Jurisdiction: Thailand
Email: [email protected]
Abbreviation: SFC
Jurisdiction: Hong Kong
Email: [email protected]
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Email: [email protected]

Recent Articles

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The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’

SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser

The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M.

SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities

The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities.

Federal Reserve Board issues Economic Well-Being of U.S. Households in 2021 report

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