Aggregated News From Investment Management Regulators

Switzerland

Marianne Bourgoz Gorgé and Alain Girard to join FINMA’s Executive Board

The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Marianne Bourgoz Gorgé and Alain Girard as new members of the Executive Board.

FINMA sanctions Coutts for 1MDB breaches

Coutts & Co Ltd has seriously breached money laundering regulations by failing to carry out adequate background checks into business relationships and transactions associated with Malaysian sovereign

FINMA Executive Board: Rupert Schaefer to leave FINMA

Rupert Schaefer has decided to leave the Swiss Financial Market Supervisory Authority FINMA on 31 August 2022.

FINMA revises circular on operational risks of banks

The Swiss Financial Market Supervisory Authority FINMA is revising its circular on the operational risks of banks, in order to incorporate the latest principles of the Basel standards.

FINMA to adjust FinMIO-FINMA

The Swiss Financial Market Supervisory Authority FINMA is amending the FINMA Financial Market Infrastructure Ordinance.

FINMA guidance for portfolio managers and trustees: important next steps

At the end of the year the transitional period for licensing portfolio managers and trustees will come to an end.

FINMA extends protective measures at Sberbank (Switzerland) AG

The Swiss Financial Market Supervisory Authority FINMA is extending its measures to protect the creditors of Sberbank (Switzerland) AG until 31 May 2022.

FINMA finds market manipulation at Blackstone Resources AG

The Swiss Financial Market Supervisory Authority FINMA has concluded proceedings for violation of market conduct rules against Blackstone Resources AG and one of its directors.

FINMA annual media conference 2022: stability of the financial institutions is key

The Swiss Financial Market Supervisory Authority FINMA today published its 2021 Annual Report at its annual media conference.

FINMA considers recovery and resolution planning by the “too big to fail” institutions to be well on track – but there are still gaps

The Swiss Financial Market Supervisory Authority FINMA provides information on the status of recovery and resolution planning by systemically important Swiss financial institutions.

Mirjam Eggen appointed Chair of the Swiss Takeover Board

The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Mirjam Eggen as Chair of the Swiss Takeover Board with effect from 1 June 2022.

Opening of consultation on FINMA Ordinance on Data Processing

The Swiss Financial Market Supervisory Authority FINMA has opened the consultation on the complete revision of the FINMA Ordinance on Data Processing.

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
Regulator Name: Financial Action Task Force
Abbreviation: FATF
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) .

Get the latest from Regulatory.News in your inbox!

×