Aggregated News From Investment Management Regulators

EMEA

Sanctions Notice – Myanmar — GFSC

Please be advised that the following individuals and entities: Win Kyaw Kyaw Aung Zaw Min Tun Asia Sun Trading Company Limited Cargo Link Company Limited have been designated under the Myanmar (San

Sanctions Notice – ISIL (DA’ESH) and AL-QAIDA — GFSC

Please be advised that Islamic State in Iraq and the Levant in South-East Asia has been designated under the ISIL (Da’esh) and Al-Qaida (Sanctions) (EU Exit) Regulations 2019 (the UK regulati

SFDR data collection exercise for investment fund managers (IFMs) on regulatory requirements in relation to Regulation (EU) 2019/2088 on sustainability-related disclosures in the financial...

1. Context This Communiqué follows up on the CSSF communiqué published on 27 July 2022 announcing the intention of the CSSF to launch a data collection exercise related to SFDR. The objective of the present Communiqué is to provide industry participants with information on the launch of the first part of this data collection, which mainly focuses on the collection of information regarding organisational arrangements of IFMs. SFDR requires IFMs that qualify as financial market participants (FMP(s)) and/or financial advisers (FA(s)) to comply with a set of rules regarding the integration of sustainability risks in their activities by 10 March 2021. SFDR also outlines...

EARNEASYMONEY

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This firm is not authorised by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation Scheme (FSCS), so you are unlikely to get your money...

FCA confirms appointment of Chair of the Payment Systems Regulator

We have confirmed the appointment of Aidene Walsh as Chair of the Payment Systems Regulator for a three-year term. Aidene has been interim chair of the PSR since April 2022. The appointment was made by the FCA Board with the approval of the Treasury. Richard Lloyd OBE, Interim Chair of the FCA, said: 'I warmly congratulate Aidene on her appointment. The Payment Systems Regulator fulfils a vital role in enabling sustainable innovation, protecting consumers, and promoting competition in payments, and the FCA looks forward to continuing to work closely with Aidene and her team.' Aidene Walsh, Chair of the Payment Systems Regulator, said: 'I...

ESMA reviews the scope of clearing and derivatives trading obligations

See the content published by the European Securities and Markets Authority (ESMA) here:

Note regarding the Extension of the Consultation Period for the Consultation Document on the Proposed Establishment of a Framework for Notified Professional Investor Funds

Note regarding the Extension of the Consultation Period for the Consultation Document on the Proposed Establishment of a Framework for Notified Professional Investor Funds – MFSA

Oxford Wise

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This firm is not authorised by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation Scheme (FSCS), so you are unlikely to get your money...

22 Pips

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This firm is not authorised by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation Scheme (FSCS), so you are unlikely to get your money...

Restrictions placed on Nexus Independent Financial Advisers and Nexus Investment Managers

On 25 January 2023, we imposed a number of restrictions on Nexus Independent Financial Advisers and Nexus Investment Managers preventing them from carrying out any regulated activities and restricting access to their assets due to concerns about use of certain funds that appear to have been withdrawn by a senior individual in the firms.  Nexus Independent Financial Advisers and Nexus Investment Managers have the right to make written or oral representations to us on the First Supervisory Notice. They also have the right to make a reference to the Upper Tribunal. Our restrictions will stop Nexus Independent Financial Advisers and Nexus...

National Credit Lenders

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This firm is not authorised by us and is targeting people in the UK. You will not have access to the Financial Ombudsman Service or be protected by the Financial Services Compensation Scheme (FSCS), so you are unlikely to get your money...

Q&A about the entry into force of the Delegated Regulation supplementing the Sustainable Finance Disclosures Regulation (SFDR)

The FSMA has published a Communication on the entry into force of Commission Delegated Regulation (EU) 2022/1288 of 6 April 2022 supplementing the SFDR with regulatory technical standards. The Communication takes the form of Q&As and covers, for example, the content and presentation of the information relating to the promotion of environmental or social characteristics and objectives for sustainable investments in precontractual documents, on websites and in periodic reports. These Q&As bring together the clarifications published by the European Commission and the European Supervisory Authorities on the subject and sets out the FSMA’s expectations in this regard. Read more in Communication...

Regulator Information

Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Email: [email protected]
Abbreviation: CBI
Jurisdiction: Ireland
Email: [email protected]
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Email: [email protected]
Abbreviation: CBR
Jurisdiction: Russian Federation
Email: [email protected]
Abbreviation: CNMV ES
Jurisdiction: Spain
Email: [email protected]
Abbreviation: CSSF
Jurisdiction: Luxembourg
Email: [email protected]
Abbreviation: HANFA
Jurisdiction: Croatia
Email: [email protected]
Abbreviation: CySEC
Jurisdiction: Cyprus
Email: [email protected]
Abbreviation: DFSA
Jurisdiction: Denmark
Email: [email protected] 
Abbreviation: AFM
Jurisdiction: Netherlands
Email: [email protected]
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Email: [email protected]
Abbreviation: ESMA
Jurisdiction: ESMA
Email: [email protected]
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
Abbreviation: FRA
Jurisdiction: Egypt
Email: [email protected]
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Email: [email protected]
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Email: [email protected]
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: FIN-FSA
Jurisdiction: Finland
Email: [email protected]
Abbreviation: FME IS
Jurisdiction: Iceland
Email: [email protected]
Abbreviation: FSA
Jurisdiction: Norway
Email: [email protected]
Abbreviation: GFSC
Jurisdiction: Guernsey
Email: [email protected]
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Email: [email protected]
Regulator Name: Israel Securities Authority
Abbreviation: ISA
Jurisdiction: Israel
Email: [email protected]
Abbreviation: JFSC
Jurisdiction: Jersey
Email: [email protected]
Abbreviation: MFSA
Jurisdiction: Malta
Email: [email protected]
Abbreviation: CONSOB
Jurisdiction: Italy
Email: [email protected]
Abbreviation: CMVM
Jurisdiction: Portugal
Email: [email protected]
Abbreviation: SEC NG
Jurisdiction: Nigeria
Email: [email protected]
Abbreviation: FI
Jurisdiction: Sweden
Email: [email protected]
Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]

Recent Articles

Sanctions Notice – Myanmar — GFSC

Please be advised that the following individuals and entities: Win Kyaw Kyaw Aung Zaw Min Tun Asia Sun Trading Company Limited Cargo Link Company Limited have been designated under the Myanmar (San

Sanctions Notice – ISIL (DA’ESH) and AL-QAIDA — GFSC

Please be advised that Islamic State in Iraq and the Levant in South-East Asia has been designated under the ISIL (Da’esh) and Al-Qaida (Sanctions) (EU Exit) Regulations 2019 (the UK regulati

SFDR data collection exercise for investment fund managers (IFMs) on regulatory requirements in relation to Regulation (EU) 2019/2088 on sustainability-related disclosures in the financial...

1. Context This Communiqué follows up on the CSSF communiqué published on 27 July 2022 announcing the intention of the CSSF to launch a data collection exercise...

EARNEASYMONEY

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

CVM accepts proposal for a term of commitment with the CEO of Clear Sale SA

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...

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