Aggregated News From Investment Management Regulators

EMEA

The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the...

On 23 July 2021, the French financial markets authority (AMF) and the French prudential control and resolution authority (ACPR) signed two cooperation agreements with the Securities Exchange Commiss

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime 29 July 2021 Memorandum of understanding between the Securities and Exchange Comm

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.S

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.

AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)

The AMF is calling on the extreme vigilance of retail investors when dealing with offers to invest in crypto-assets. The regulatory authority reminds of the existence of a

C459 – Reporting obligations (‘the AIFMD Reporting obligation’) under articles 4(3)(d) and 31(1), (2) and (4) of the Alternative Investment Fund Managers...

See the Circular published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

ivyautomotive (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 more about this 'clone firm'. Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a 'clone firm'; and fraudsters usually use this tactic when contacting people out of the blue, so you should be especially wary if...

top-isa-comparison.com

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...

Circular CSSF 21/778

This news item was originally published by the Commission de Surveillance du Secteur Financier (CSSF LU). For more information, please see the Circular here: Source Link.

Tenshi Venture Capital

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...

Onorio

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...

Jupiter Asset Management (Clone of FCA authorised firms)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a 'clone firm'; and fraudsters usually use this tactic when contacting people out of the blue, so you should be especially wary if...

Global situation of undertakings for collective investment at the end of June 2021

This news item was originally published by the Commission de Surveillance du Secteur Financier (CSSF LU). For more information, please see the Press Release here: Source Link.

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

The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the...

On 23 July 2021, the French financial markets authority (AMF) and the French prudential control and resolution authority (ACPR) signed two cooperation agreements with the Securities Exchange Commiss

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime 29 July 2021 Memorandum of understanding between the Securities and Exchange Comm

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.S

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.

SEC Charges Founder of Nikola Corp. With Fraud

The Securities and Exchange Commission today announced charges against Trevor R.

AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)

The AMF is calling on the extreme vigilance of retail investors when dealing with offers to invest in crypto-assets. The regulatory authority reminds of the existence of a Read more

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