Aggregated News From Investment Management Regulators

Cyprus

ESMA Questions and Answers on the Market Abuse Regulation

See a PDF of the Questions and Answers published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

CySEC awards University student

As part of its ongoing endeavors to promote financial education in Cyprus, the Cyprus Securities and Exchange Commission (CySEC) awarded a student at the University of Cyprus Faculty of Economics and Management for the best postgraduate dissertation on the subject of Finance, Monetary and Capital Markets during the 2021-2022 academic year. In an award ceremony held on Monday, June 20, 2022, at the University of Cyprus Siakoleio Training Center, Ms. Elena Karkoti, Officer A, presented on behalf of CySEC a cash award of €500 to Mr. Vassilios Zagreos for his honorable academic performance. With these awards, CySEC aims to encourage students...

Form 165-04 Application for Prudential Permissions

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

Form 165-03 Prudential Supervision Information

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

Introduction of CySEC’s Prudential Form 165-03 ‘Prudential Supervision Information’ and prudential Form 165-04 ‘Application form for prudential permissions’

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

Reminder for registration to the Cyprus Beneficial Ownership Register of Express Trusts and Similar Legal Arrangements (‘CyTBOR’)

See the Announcement here See a PDF of the news item published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Revised Risk – Based Supervision Guidelines on anti-money laundering and terrorist financing

See the guidelines here See a PDF of the news item published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Warning regarding unregulated entities

The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the following websites do not belong to an entity which has been granted an authorization for the provision of investment services and/or the performance of investment activities, as provided for in Article 5 of Law 87 (I)/2017. winicoin.comfxviewinvestment.comenormoustradeharvest.commarketsocta.comcolmex24.nettradingmasterclass77.com CySEC urges investors to consult its website (www.cysec.gov.cy), before conducting business with investment firms, in order to ascertain the entities which are licensed to provide investment services and/or investment activities. See a PDF of the news item published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Unofficial Consolidation of the Directive DI87-04 of 2018 of the CySEC, DI87-04(Α) OF 2020, DI87-04(Β) OF 2021 AND DI87-04(C) OF 2021

See the Directive here See a PDF of the news item published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

CySEC issues fines and operating bans against four Maxigrid directors

The Cyprus Securities and Exchange Commission (CySEC) today announces that it has imposed administrative sanctions on current and former members of the Board of Directors of Maxigrid. The penalties include administrative fines totaling € 210,000 and a ban against them exercising management functions in Cyprus Investment Firms (CIFs) of up to five years, depending on each case. Following an investigation into Maxigrid’s non-compliance with provisions of the Investment Services and Activities and Regulated Markets Law, CySEC also examined the Company's Board of Directors in respect of section 10(1)(a) of the Law. Maxigrid's Board of Directors was found to have acted...

EU Council’s Restrictive Measures against Russia due to its military aggression against Ukraine – EU adopts sixth package of sanctions

STRATEGY, INTERNATIONAL RELATIONS & COMMUNICATIONS POLICY ISSUERS AUTHORISATIONS SUPERVISION AML – CFT MARKET SURVEILLANCE & INVESTIGATIONS LEGAL ADMINISTRATION & PERSONNEL I

Lapse of authorisation license of the Company Providing Administrative Services – Bizserve Consultants Ltd

The Cyprus Securities and Exchange Commission (‘CySEC’) announces that, as of 31st December 2021, Bizserve Consultants Ltd (the ‘Company’), waived its authorisation for the provision of administrative services pursuant to section 16(1) of the Law Regulating Companies Providing Administrative Services and Related Matters of 2012, as in force (the ‘Law’). Therefore, the Company’s authorisation with Νumber 66/196, which was granted by CySEC, lapsed as from the aforementioned date and the Company ceases to provide administrative services. CySEC, in accordance with section 16(2) of the Law, has permanently deleted the Company from the licensed persons’ Register. See a PDF of the news...

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Abbreviation: CBR
Jurisdiction: Russian Federation
Abbreviation: CSRC
Jurisdiction: China
Abbreviation: CSSF
Jurisdiction: Luxembourg
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: HANFA
Jurisdiction: Croatia
Abbreviation: CySEC
Jurisdiction: Cyprus
Abbreviation: DFSA
Jurisdiction: Denmark
Abbreviation: AFM
Jurisdiction: Netherlands
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Abbreviation: ESMA
Jurisdiction: ESMA
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FRA
Jurisdiction: Egypt
Abbreviation: FCNB
Jurisdiction: Canada
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: FIN-FSA
Jurisdiction: Finland
Abbreviation: FME IS
Jurisdiction: Iceland
Abbreviation: FSA
Jurisdiction: Norway
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Abbreviation: JFSC
Jurisdiction: Jersey
Abbreviation: MFSA
Jurisdiction: Malta
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: MAS
Jurisdiction: Singapore
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: CMVM
Jurisdiction: Portugal
Abbreviation: SEBI
Jurisdiction: India
Abbreviation: FSA
Jurisdiction: Japan
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: SEC NG
Jurisdiction: Nigeria
Abbreviation: SEC TH
Jurisdiction: Thailand
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: SFC
Jurisdiction: Hong Kong
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Abbreviation: FI
Jurisdiction: Sweden
Abbreviation: FINMA
Jurisdiction: Switzerland
Abbreviation: UST
Jurisdiction: United States

Recent Articles

Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)

Financial Industry Regulatory Authority, Inc.

Revision of Recommendation 25 – White Paper for Public Consultation

The Financial Action Task Force (FATF) is conducting a review of Recommendation 25 (R.25) on the transparency and beneficial ownership (BO) of legal arrangements....

ASIC warns super trustees to be transparent in their underperformance communications to members

ASIC today released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products. The...

EBA replies to European  Commission’s call for advice on the Mortgage Credit Directive review

The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .

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