Aggregated News From Investment Management Regulators

Malta

MFSA Warning – Deriv Investment – Clone

The Malta Financial Services Authority (“MFSA” or “the

Insurance Distributors Given Guidance on Assessment of Clients Demands and Needs

The Malta Financial Services Authority has issued a co

MFSA CEO Joseph Gavin Talks About the Future of Financial Services in ‘Ganado Meets Finance’ Podcast

MFSA’s Chief Executive Officer Joseph Gavin talks abou

European Commission Consultation Documents – PSD2 – MFSA

European Commission Cons

Surrender of Investment Services Licence by Growth Investments Limited

This notice is to make the general public aware that G

MFSA Warning – Perfect Choice Trade – Unlicensed Entity

The Malta Financial Services Authority (“MFSA” or “the

Extension of Period of Suspension of Trading – MedservRegis plc – MFSA

Extension of Period of Suspension of Trading – Meds

MFSA Notice – Edgepoint Financial Group – Unlicensed Entity

The Malta Financial Services Authority (“MFSA” or “the

Surrender of Authorisation by Tri-Mer Corporate Limited

This notice is to make the general public aware that T

Positive Results Seen by MFSA in Fighting Money-Laundering

The integration of Anti-Money Laundering / Combatting

Regulator Information

Abbreviation: MFSA
Jurisdiction: Malta

Recent Articles

SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

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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